Solo Regulated Firms have been living with the Senior Managers & Certification Regime (SM&CR) now since December 2019, and the impact of Covid-19 means the landscape of our professional world continues to change and evolve as we all respond to the impact of the pandemic (“work from home again if you can”!). Megan Butler, FCA, […]
The Senior Managers & Certification Regime (SM&CR) has been with us for some time now, but should we be cautious about losing focus and our attention being directed elsewhere? For instance, are you confident that your firm is ready for embedding the regime as expected by the regulator; in a way that becomes ‘integral to […]
FCA solo regulated firms are now completing the transition of SM&CR requirements into ‘Business as Usual’ but what exactly does this look like? As this transition continues, knowingly or not, firms are moving to a position where, at one end of the spectrum, SM&CR becomes the foundation stone of lasting cultural change or, at the […]
The Senior Managers & Certification Regime (SM&CR) has been with us for some time now, but should we be cautious about losing focus and our attention being directed elsewhere? For instance, are you confident that your firm is ready for embedding the regime as expected by the regulator; in a way that becomes ‘integral to […]
FCA solo regulated firms are now completing the transition of SM&CR requirements into ‘Business as Usual’ but what exactly does this look like? In the second of our popular webinars, we further delve beyond pure compliance with the regulations and explore some of the key underlying concepts that appropriately structured SM&CR arrangements should be able […]
The Senior Managers & Certification Regime (SM&CR) has been with us for some time now, and as a result expectations are changing. The regulatory focus will be around firms providing assurance around the operational effectiveness of the regime as opposed to achieving initial implementation. For instance, would you be confident if either the FCA or […]
The Senior Managers & Certification Regime (SM&CR) has been with us for some time now, and as a result expectations are changing. The regulatory focus will be around firms providing assurance around the operational effectiveness of the regime as opposed to achieving initial implementation. The FCA has made it clear that the Senior Manager and […]
The Senior Managers & Certification Regime (SM&CR) has been with us for some time now, and as a result expectations are changing. The regulatory focus in 2022 continues to be around firms providing assurance around the operational effectiveness of the regime as opposed to achieving initial implementation. The FCA has made it clear that the […]
SM&CR – not just a cost to your firm but the cornerstone for ensuring ‘conduct, culture and accountability’. No doubt that over the last 18 months you have heard the FCA talk regularly about becoming a more data led regulator. Nikhil Rathi (CEO) has been driving through a project to ensure that the FCA is […]
The newly published Consumer Duty (CD) is a topic on everyone’s agenda right now with boards being required to approve their firm’s implementation plans by the end of October 2022. However, as all-consuming as it might feel, with proper planning, ensuring compliance with the new higher standards doesn’t need to be a burden to you […]
On 9 December 2022, the UK Chancellor of the Exchequer announced a package of reforms to the UK financial services sector, known as the “Edinburgh Reforms”. The aim of these reforms is to support the government’s ambitions for the UK to be the “world’s most innovative and competitive global financial centre.” There are a total […]