Compliance Insights Articles

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...

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...

What Senior Managers Need to Be Doing Now for the SM&CR

Robert Bell

Oct 31, 2019

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...

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...

Winter is Coming – and so are the Conduct Rules

Robert Bell

Sep 19, 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...

The Requirements of the Senior Managers & Certification Regime - A Reminder

Robert Bell

Aug 13, 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...

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...

4 Main Drivers of a Healthy Culture in Financial Services Firms

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...

Senior Managers & Certification Regime: Conduct Rules Implementation

Robert Bell

May 1, 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...

How Non-Executive Directors Will Be Affected By The SM&CR

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...

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...

FCA's Recent Discussion Paper on a Potential 'Duty of Care'

Robert Bell

Nov 20, 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...

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...

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.