What’s coming up in 2020 from the FCA?
As we get stuck into 2020, let's take a look at what’s coming up from the FCA. Dear CEO Letter – Non-Financial Misconduct The Senior...
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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 27, 2019
What is explicit consent?
With vulnerability high on the FCA’s agenda for 2020, financial services firms have an eye on its new guidance document, which seeks to...
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...
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...
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
Oct 9, 2019
How can firms fill the gap between the FCA’s expectations on vulnerable customers and reality?
How difficult is it to spot vulnerability in a customer? Very, if we look to a recent poll conducted by More2Life, which suggested that...
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...
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...
Robert Bell
Aug 27, 2019
What's on the FCA's Regulatory Horizon for 2019 - 2020?
The FCA’S 2019/20 business plan sets out upcoming regulatory changes over the next 10 months, as well as giving an indication of what is...
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...
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...
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
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...
Victoria Bell
Apr 16, 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...
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...
Robert Bell
Apr 2, 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
Mar 19, 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
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...
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