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Worksmart Limited 22h
Free Webinar: What next for Conduct and Culture in 2020? Patrick Butler, co-founder of the UK Finance Conduct and Culture Academy and Julie Pardy, Worksmart Director of Market Engagement and Regulation explain all. Register now!
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DWF Law Jan 14
The Senior Managers & Certification Regime came into effect on 9 December 2019. recently hosted a round table event to discuss implementation issues with firms in the and industries. Read our feedback report to find out more.
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ACACompliance Jan 16
Under the Senior Managers & Certification Regime, individuals are more accountable than ever for their actions. Are you confident that your employees have received bespoke and relevant SM&CR training relative to their day-to-day roles?
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CheckVentory Jan 14
With the Financial Conduct Authority's focus on accountability, any tools that can help validate dealership records ✅ will help Finance Directors sleep better at night. 😴
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Julia Kirkland Jan 15
Biggest change to hit FS since N2 or arguably intro of Twin Peaks approach... The end of the Approve Person Regime for almost all firms and this is what people are saying about it. There is still work to do me thinks!!
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Skillcast Jan 14
"Prompt and excellent services with problem-solving skills. Skillcast's online modules are effective for staff training and knowledge enhancement. I will definitely recommend them." via
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Evidology Systems Ltd. 15h
Personal responsibilities of 'Senior Managers': Extension of to all FCA solo regulated firms
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Financial Conduct Authority Jan 13
Solo regulated firms – including financial advisers, claims management companies and asset managers - can now submit their directory persons data to us as part of .
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Chris Davies Jan 13
Last few seats for my update this Wednesday
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Objectivus Jan 14
On 6 January 2020, the FCA published a letter addressed to the CEOs of general insurance firms. This letter sets out the FCA’s expectations for firms to be proactive in tackling non-financial misconduct in the sector.
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Altus Ltd Jan 13
FCA seeks to encourage & to reward customer loyalty with lower pricing. GI experts & comment on latest update letter sent to insurer boards via
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Actus Jan 14
With in place for many firms in , some might think their hard work is over. In reality, to ensure , processes should be put in place that will last in the long-term. Join our web demo next week to see how we can help:
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Actus Jan 17
Since the FCA has moved the focus on from the firm to the individual through , many should now be asking 'What processes are in place to protect the Senior Managers?'. Read more on our blog here:
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Browne Jacobson LLP Jan 15
Still not embedded SMCR? Our team of highly trained SMCR regulatory and insurance lawyers have developed a comprehensive matrix of services to help FCA-regulated firms comply with the SMCR regulation and manage HR and employment law consequences.
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RWA Insight Jan 16
Why non-financial should be taken seriously:
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RWA Insight 19h
highlights and as a significant factor in improving conduct in :
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Apricity Compliance Jan 10
Following the implementation of SM&CR, solo regulated firms are now required to upload their advisers and other certified members of staff to the new FCA Directory - we've come up with some helpful tips on how to use the Directory here >>
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RWA Insight 21h
New criminal records checks requirements under SM&CR:
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Konexo 21h
What does mean for you & your firm? Simon Collins, Managing Director, Regulatory Compliance discusses the impact
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RWA Insight Jan 16
has now been extended to FCA solo-regulated firms:
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