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...
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Robert Bell
May 29, 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
Feb 27, 2019
FCA Authorisation Application in 5 Steps
Most financial service providers and consumer credit firms must be authorised by the Financial Conduct Authority in order to operate and...
Victoria Bell
Feb 19, 2019
How Non-Executive Directors Will Be Affected By The SM&CR
This week we’re going to take a look at how Non-Executive Directors will be affected by the implementation of the Senior Managers and...
Robert Bell
Feb 14, 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 5, 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
Jan 2, 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
Dec 4, 2018
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...
Victoria Bell
Nov 7, 2018
Solo-Regulated Firms and The Senior Managers & Certification Regime
The Senior Managers & Certification Regime (SM&CR) is due for implementation in solo-regulated firms on 9 December 2019. With 2019 just...
Victoria Bell
Oct 25, 2018
Insurance Firms and The Duty of Responsibility Under SM&CR
With the commencement date looming, insurance firms should be well within the final stretch of their preparation for the new Senior...
Robert Bell
Oct 9, 2018
How Claims Management Companies Need to Apply for FCA Authorisation & Implications of SM&CR
The regulation of Claims Management Companies (CMCs) within England, Scotland and Wales is due to change in 2019, with the Financial...
Robert Bell
Sep 26, 2018
What Insurance Firms Need to Know About the Incoming SM&CR
Insurance firms are gearing up for the implementation of the Senior Managers and Certification Regime on 10 December this year. The SM&CR...
Victoria Bell
Aug 1, 2018
Preparing for the Senior Managers and Certification Regime
The FCA have now published the ‘near-final’ draft rules for the Senior Managers and Certification Regime (SM&CR), which currently only...
Victoria Bell
Dec 19, 2017
Transitioning FCA firms and individuals to the Senior Managers & Certification Regime: Important
The Financial Conduct Authority (FCA) have published a package of proposals outlining their proposed transitional arrangements for...
Victoria Bell
Nov 14, 2017
What you need to know: the new fit & proper requirements in SM&CR
The FCA’s proposed extension to the Senior Managers and Certification Regime aims to bring all FCA regulated firms under a single regime,...
Robert Bell
Nov 7, 2017
What's on the Regulatory Horizon?
Your horizon scanning has never been as important as it is right now, a time when we have significant and numerous regulatory changes...
Matthew Mason
Sep 28, 2017
10 Steps to FCA Authorisation
The prospect of preparing and submitting an FCA application and the numerous challenges this poses can be overwhelming and things can...
Matthew Mason
Aug 3, 2017
Compliance Briefing: June - July 2017
To download this briefing in it's entirety, please click here. Regulatory Sanctions ICO fines Satsuma Loans for spam texts Credit company...
Robert Bell
Jul 27, 2017
5 Steps to Risk Management in Debt Collection
The Financial Conduct Authority's (FCA) consultation on the extension of the Senior Management and Certification Regime (SM&CR) to all...
Robert Bell
Jul 12, 2017
Senior Managers and Certification Regime – What’s Next?
With a significant change on the horizon - the Senior Managers and Certification Regime (SMCR) - it is critically important to keep up to...
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