top of page
Consultancy and Ready to Go E-Learning
"Making Compliance Simple"
Compliance Insights Articles
Search
What Senior Managers Need to Be Doing Now for the SM&CR
As solo-regulated firms are preparing to leave behind the Approved Persons Regime and implement the Senior Managers and Certification...
Robert Bell
Oct 31, 2019
What are the FCA Conduct Rules?
The FCA's Conduct Rules form a fundamental part of the Senior Managers and Certification Regime, which will apply to almost all FCA...
Victoria Bell
Sep 25, 2019
Winter is Coming – and so are the Conduct Rules
This winter sees the introduction of the conduct rules for solo-regulated firms, insurance firms and banking are already complying with...
Robert Bell
Sep 19, 2019
The Requirements of the Senior Managers & Certification Regime - A Reminder
The Financial Conduct Authority have recently published a stocktake report of the Senior Managers & Certification Regime in the banking...
Robert Bell
Aug 13, 2019
Allocating Prescribed Responsibilities Under SM&CR
Under the incoming Senior Managers and Certification Regime, Core and Enhanced firms will have to allocate Prescribed Responsibilities to...
Victoria Bell
Jul 23, 2019
SM&CR Conduct Rules Training Requirements
For solo-regulated firms the commencement of SM&CR is fast approaching, and 9th December will be here before we know it. Most firms will...
Robert Bell
Jul 11, 2019
4 Main Drivers of a Healthy Culture in Financial Services Firms
Last month, the Financial Conduct Authority published its 2019/20 business plan, setting out the regulator’s priorities for meeting its...
Robert Bell
May 29, 2019
Senior Managers & Certification Regime: Conduct Rules Implementation
With summer just around the corner, December may feel like a long way off. But there are only seven months to go until the Senior...
Robert Bell
May 1, 2019
Statement of Responsibilities & Prescribed Responsibilities Under SMCR
This week we’re going to take a look at the content of Statements of Responsibilities (SoRs), – the document outlining the...
Victoria Bell
Apr 16, 2019
Financial Services Regulation Round-Up - March 2019
As always, we aim to keep you right up to date with all matters to do with financial services compliance, as such we have produced a...
Robert Bell
Apr 9, 2019
Regulatory Horizon for 2019
In this article, we’ll take a look ahead at the upcoming regulatory changes over the next nine months of 2019. In the last two years,...
Robert Bell
Apr 2, 2019
What is required in a Statement of Responsibility under SM&CR?
The new Senior Managers and Certification Regime is designed to encourage accountability within firms, aiming to prevent misconduct by...
Robert Bell
Mar 19, 2019
SM&CR – What should you be doing now to ensure compliance?
As you will have seen from the previous articles in our series, the Senior Managers & Certification Regime (SM&CR) comes into force in...
Robert Bell
Feb 14, 2019
Reporting Requirements under the Senior Managers & Certification Regime SM&CR
With the commencement of the Senior Managers and Certification Regime (SM&CR) slowly creeping closer we will be helping you to gradually...
Robert Bell
Feb 5, 2019
Fit and Proper Requirement of SM&CR - What does this mean?
Solo-regulated firms that will be within the scope of the Senior Managers and Certification Regime from the end of this year should...
Victoria Bell
Jan 30, 2019
The Senior Managers & Certification Regime (SM&CR) – Plan your 2019
This is the year that the Senior Managers & Certification Regime (SM&CR) comes into force for solo-regulated firms (i.e. firms regulated...
Robert Bell
Jan 15, 2019
Senior Managers & Certification Regime for insurance firms – What now?
As of the 10th December, insurance firms are now subject to the Senior Managers and Certification Regime. So as an insurance firm what...
Robert Bell
Jan 2, 2019
What Conduct Rules training is required under SM&CR?
With next week marking one year until the roll-out of the Senior Managers and Certification Regime to solo-regulated firms, all affected...
Robert Bell
Dec 4, 2018
What are Prescribed Responsibilities under the Senior Managers & Certification Regime (SM&CR
The Senior Managers and Certification Regime is due to commence on 9 December 2019 for solo-regulated firms, and on 10 December 2018 for...
Victoria Bell
Nov 27, 2018
FCA's Recent Discussion Paper on a Potential 'Duty of Care'
In July of this year, the Financial Conduct Authority (FCA) published a Discussion Paper on a potential ‘Duty of Care’, which some of the...
Robert Bell
Nov 20, 2018
Compliance Insights Newsletter
The Email Newsletter for Compliance Professionals. Sign up to get regular compliance advice, news and updates delivered straight into your inbox. Designed to help you keep your finger on the pulse on the latest developments in compliance and it’s FREE.
bottom of page