Author Archives: admin

Jan24

The Year of the Senior Manager

The FCA’s major programme for SMCR is proceeding apace…. despite Brexit. SMCR implementation is a challenge for nearly every FCA-regulated firm. Related training is one aspect of the regime. The training is not just mandatory, but essential. The impact of …
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Posted in: FCA, Senior Managers Regime
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Jan4

2019: All about Brexit?

Is 2019 the Year of the Brexit? Yes, maybe, no. Brexit may happen in 2019, or it may not. Whatever. Either way, it might not be the greatest regulatory challenge that we face this year. Granted, we don’t know what …
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Posted in: Assessment of Value, Asset Management Market Study, Brexit, EU, FCA, Senior Managers Regime
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Nov27

The Thought That Counts

Through its recent publications, FCA is starting to tell us how it will handle Brexit in practice. Wisely they continue to steer away from the politics, but quite rightly make clear their practical preferences – FCA’s job is, after all, …
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Posted in: Brexit, EU, FCA, UCITS
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