Tag 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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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