If Culture is what people do when no one is looking, then 2021 might prove to be as challenging to your Conduct and Culture risk frameworks as the last nine months have been. Continued Conduct risks related to employees working from a home and a regulator finding the identification of Conduct risk in firms ‘unacceptably […]
Following on from the success of the inaugural PIMFA Virtual Fest in June 2020, PIMFA are running a second Virtual Fest which will take place on 9th and 10th March 2021. Like the first event, over the two days, the PIMFA Virtual Fest V2 will be delivering presentations on key areas which members have identified […]
Regulated firms have struggled to measure Culture, often citing that ‘it’s far too difficult and abstract’ to define and manage effectively. Such reasoning in 2021 won’t wash with regulators, shareholders and the public expecting senior managers and boards to be much more proactive and transparent in this space. In this FREE webinar, Worksmart's Julie Pardy, […]
SM&CR has been with us as an industry since 2016 now for those in Banking & Insurance and 2018/19 for Solo Regulated firms. How has it been for you? When launched the FCA focused in on four key areas of change that they were expecting the regime to deliver against namely:- More effective senior managers […]
Returning once again for the first time since June 2019, we are proud to announce that Worksmart will be hosting a session at the PIMFA Compliance Conference 2022 will be taking place on September 28 in London AND online. With the final rules and guidance now published, the FCA have clearly stated that the aim […]
Now that the FCA’s plans for the new Consumer Duty have started to sink in, firms are now getting to grips with what they need to accomplish by July 31st. However, whilst there is a lot of discussion about the new principle for business, cross-cutting rules and new conduct rules, there appears to be very […]
The PIMFA Compliance Conference 2023 will be taking place on September 21st, in London AND online, and we are proud to announce that Worksmart will not only be hosting a session, but we are also Gold Partners of the event! Hear from leading industry experts on the key issues facing compliance professionals in the investment […]