Compliance Insights Articles

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...

Final preparations for the Senior Managers and Certification Regime

Robert Bell

Nov 12, 2019

Final preparations for the Senior Managers and Certification Regime

Aiming to strengthen accountability and responsibility in financial services, the Senior Managers and Certification Regime will complete...

Victoria Bell

Sep 25, 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...

SM&CR Conduct Rules Training Requirements

Robert Bell

Jul 11, 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...

Financial Services Regulation Round-Up - March 2019

Robert Bell

Apr 9, 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...

SM&CR – What should you be doing now to ensure compliance?

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...

Reporting Requirements under the Senior Managers & Certification Regime SM&CR

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...

The Senior Managers & Certification Regime (SM&CR) – Plan your 2019

Robert Bell

Jan 15, 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...

Senior Managers & Certification Regime for insurance firms – What now?

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...

What Conduct Rules training is required under SM&CR?

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...

What are Prescribed Responsibilities under the Senior Managers & Certification Regime (SM&CR

Victoria Bell

Nov 27, 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...

Solo-Regulated Firms and The Senior Managers & Certification Regime

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...

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