Tag Archives: Conduct Rules
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
Jun13
Four Thoughts
Prioritisation is frequently a bigger challenge than we realise. It is always tempting to see the process of prioritisation as a waste of good doing time. That of course is to under-prioritise the prioritisation process. An error to which most …
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Posted in: Assessment of Value, Asset Management Market Study, Best Execution, FCA, Senior Managers Regime
Tagged in: Assessment of value, asset management market study, Best Execution, Conduct Rules, FCA, Financial Conduct Authority, Independent Directors, Order execution policy, senior managers regime, Staley
Tagged in: Assessment of value, asset management market study, Best Execution, Conduct Rules, FCA, Financial Conduct Authority, Independent Directors, Order execution policy, senior managers regime, Staley
Dec21
SMCR: not the whole story
Almost all the attention paid recently to SMCR has focused on the in-force date and features of the transition (CP17/40: Individual accountability: Transitioning FCA firms and individuals to the Senior Managers & Certification Regime | FCA). Both are important …
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Posted in: Senior Managers Regime
Tagged in: Conduct Rules, CP17/40, FCA, senior managers regime, Statement of Responsibility
Tagged in: Conduct Rules, CP17/40, FCA, senior managers regime, Statement of Responsibility