SMCR for Solo-Regulated Firms Key Questions Answered

The extension of the SM&CR to FCA solo-regulated firms impacted over 50,000 financial firms.

Highest FCA Fines of 2020

So far 2020 has been less of a bumper year for FCA fines than 2019 (after a record £392 million last year). We've analysed the […]

How to Prevent SM&CR Training Damaging Staff Motivation

For many firms SM&CR created a step change in personal accountability, causing a potential headache - especially when dealing with those who've never had accountability […]

How to Evidence your SM&CR Competence

It's not rocket science to say that effective training and competence are critical to SM&CR compliance. But don't underestimate the scale of the challenge this […]

The Biggest Financial Crime Fines

Monetary fines are the most common punishment for financial crimes. They serve as a powerful tool for encouraging companies to apply best practices to ensure […]

Highest FCA Fines of 2019

The FCA issued a record total of £392 million in fines in 2019. In fact, the two largest fines in 2019 were larger than the […]

FCA Compliance News – December 2019

This month's FS roundup includes Henderson fine, operational resilience, tax dodge CEO banned, CMA prompted refunds from HSBC/Santander and more...

Achieving SM&CR Compliance The Right Way

The extension of the Senior Managers and Certification Regime (SM&CR) to FCA solo-regulated firms takes place on 9th December 2019 it's more important than ever […]

FCA Compliance News – November 2019

This month's FS roundup includes mortgage prisoners, discretionary finance commissions, good practice for AFMs, OFSI 2nd Annual Review, PRA focus for General Insurance Firms and […]

FCA Compliance News – October 2019

This month's FS round-up includes fines for Prudential & Tullett Prebon, travel insurers warned over high commissions, FCA review of unit-linked trusts, new overdraft pricing […]

SM&CR – The People Dimension

SM&CR is a real opportunity to establish healthy cultures, effective governance, and greater personal responsibility. Those firms that do will build a more profitable and […]

FCA Compliance News – September 2019

Our pick of the biggest compliance news in Financial Services this month: This month's roundup includes fines for destroying documents & money laundering, poor-practice in […]

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