Category Archives: Senior Managers Regime

May19

‘Reasonable Steps’ in the Regulated World

Lucy McClements There is no doubt that being a Senior Manager Function holder (SMF) in today’s regulatory environment comes with increased risks. Regulatory expectations have been enhanced thus creating additional pressure on Boards and individuals to evidence their competence on …
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Posted in: FCA, Miscellaneous, Senior Managers Regime
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Feb20

FCA Reviews

As FCA reveals its supervision plans, firms need to pre-empt No one can say they did not know it was coming. The FCA is getting ever more explicit about its immediate concerns and supervision plans. As we noted at New …
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Posted in: Assessment of Value, Asset Management Market Study, CASS, MAR, MiFID, Senior Managers Regime, UCITS
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Jan2

Happy New Decade

At the beginning will be Brexit. At the end will be Brexit. And in between it will mainly be Brexit. I hope that those remarks relate to 2020, not to the whole decade, but I am probably wrong. There will …
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Posted in: Assessment of Value, Asset Management Market Study, Brexit, EU, FCA, MiFID, Senior Managers Regime, UCITS
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