Category Archives: Senior Managers Regime
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
Tagged in: certification, FCA, senior managers regime, SMCR, Statements of responsibility, Training
Tagged in: certification, FCA, senior managers regime, SMCR, Statements of responsibility, Training
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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Aug3
SMCR: The Hidden Jewels
Most large organisations are given to a degree of boastfulness about how professional they are, how unique, how generous, how green, how even-handed between employees. FCA is no exception. Indeed, it is required by law to tell us how its …
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Posted in: FCA, Senior Managers Regime
Tagged in: Conduct Rules, conduct rules staff, DEPP, Duty of responsibility
Tagged in: Conduct Rules, conduct rules staff, DEPP, Duty of responsibility