Changing Culture In Firms – Why Complaints Will Become Important
First published in Finance Monthly, this article discusses the FCA’s intended focus on complaints as a measure of culture change and SM&CR and provides suggestions to help…
Steering Certification Through Lockdown
First published in T&C News, this article discusses the challenges of managing Certification through Covid and provides some helpful advice…
SM&CR Roundtable Discussion
First published in Risk & Compliance magazine, this article discusses the challenges of implementing SMCR from a variety of perspectives…
Making Training & Competence Work
First published in Finance Monthly, this article considers T & C in the context of firms small and large and whether arrangements should be the same or different.
The Do’s & Don’t’s Of Delegation
CONCON 4.2 SC1: “You must take reasonable steps to ensure that the business of the firm for which you are responsible is controlled effectively” “You can delegate authority but you […]
Interesting Survey Results On The Industry’s Readiness For SM&CR…
We ran our first ever webinar on 30th September and this is what we learnt. The webinar, ‘SM&CR the final countdown – 50 working days to go’, was co-hosted with […]
Employee Competence, Or Is That Knowledge & Competence Or Even Training & Competence?
KNOWLEDGE – “Facts, information and skills acquired through experience or education. The theoretical or practical understanding of a subject” COMPETENCE – “The ability to do something successfully or efficiently” Over […]
FCA’s SMCR Stocktake Report
45 individuals interviewed across 15 Banking institutions In what has been described by the FCA as an SM&CR “Stocktaking Report” in the Banking Sector, the most recent FCA publication gives […]
Is Your Certification Regime All Planned Out? – Part #2
It is always interesting to learn from those that have gone before. In 2015, when planning for the introduction of new Senior Managers Regime (SM&CR), most banks at the time […]
Is Your Certification Regime All Planned Out? – Part #1
It is always interesting to learn from those that have gone before. In 2015, when planning for the introduction of new Senior Managers Regime (SM&CR), most banks at the time […]