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Robert Bell
Apr 20, 2023
PRA Fines Senior Manager for Conduct Rule Breach
On 13 April 2023 the PRA announced it has fined Mr Carlos Abarca, the former Chief Information Officer of TSB Bank plc (TSB), £81,620 for...
Robert Bell
Jul 27, 2022
FCA: New Approach To Applications
Since assuming the role of the conduct regulator for the financial services sector in 2013, little has changed in respect of how the...
Robert Bell
Jun 30, 2022
SMCR – Fit and Proper Assessment Pitfalls
Recent updates to the Financial Conduct Authority’s expectations around Fitness and Propriety Assessments have highlighted a few issues...
Robert Bell
May 19, 2022
FCA Senior Manager Applications: Common Mistakes And How To Avoid them
As the FCA’s updated approach to supervision beds in, the regulator has recently indicated their intention to more closely scrutinise...
Robert Bell
Apr 28, 2022
SMCR – Are You Doing It Right?
Over twelve months on from the date at which almost all financial services firms came within the scope of the Senior Managers and...
Robert Bell
Mar 10, 2022
SMCR Webinar – Are you doing it right?
Just over a year ago, solo-regulated firms came within the scope of the Senior Managers and Certification Regime (SMCR). Planning had...
Robert Bell
Mar 4, 2022
Conduct Rules Training – What does good look like?
In December 2019, the Approved Persons Regime was replaced with the Senior Managers and Certification Regime (SMCR) for most...
Robert Bell
Nov 10, 2021
Refresher Conduct Rules Training for Senior Managers and All Staff
With December 2021 and March 2022 just around the corner, it is time to start thinking about refreshing Conduct Rules training for Senior...
Robert Bell
Sep 29, 2021
Senior Managers and Certification Regime Update
We’re now six months beyond the deadline for solo-regulated firms to have undertaken the first assessment of the fitness and propriety of...
Robert Bell
Sep 1, 2021
Recent FCA Updates - September 2021
In this article you'll find a summary of recent updates from the FCA and the impact of these on regulatory compliance. FCA Chief...
Robert Bell
Mar 24, 2021
Conduct Rules Training FAQs
With the extended deadline for the roll-out of the Financial Conduct Authority’s (FCA) Senior Managers and Certification Regime to...
Robert Bell
Mar 17, 2021
Senior Managers and Certification Regime Deadlines
As the extended deadline for solo-regulated firms’ compliance with the final elements of the Senior Managers and Certification Regime...
Robert Bell
Mar 4, 2021
The Deadline for Conduct Rules Training is Approaching
Given the relative absence of regulatory changes or consultation over the previous 12 months, apart from the expected Brexit...
Robert Bell
Jan 20, 2021
The FCA Regulatory Outlook for 2021
The outlook, as we move into 2021, is very different from this time 12 months ago. The course that the FCA intended to take was...
Robert Bell
Sep 30, 2020
FCA Deadline for Conduct Rules Training
An update earlier this month confirmed that the UK Treasury has made a statutory instrument to delay the deadline for solo-regulated...
Robert Bell
Sep 2, 2020
Deadline for Conduct Rules Training
The FCA has consulted to extend the deadline for solo-regulated firms to have undertaken the first assessment of the fitness and...
Robert Bell
Jul 15, 2020
FCA Updates Coronavirus Guidance For Consumer Credit and SMCR
The UK’s Financial Conduct Authority acted swiftly to provide additional guidance on appropriate support for customers during the first...
Robert Bell
Apr 8, 2020
Regulatory References Under SMCR
Since the SMCR rolled out to solo-regulated firms in December, we’ve had lots of queries about the practicalities of the regulatory...
Robert Bell
Jan 8, 2020
What does the FCA's Systems and Controls Sourcebook (SYSC) mean for firms and Senior Managers?
The past two years have brought a whirlwind of new regulatory requirements, guidance and legislation that financial services firms have...
Robert Bell
Nov 19, 2019
Final Stage Troubleshooting for SM&CR
With just over two weeks to go until commencement, solo-regulated firms should be finalising their preparations for the start of the...
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