The FCA has been slow to hand out fines this year, with three fines issued thus far. We've analysed the nature of these breaches and […]
Regulators now expect employees in all financial firms to comply with the FCA Code of Conduct. Failure to do so will result in fines. Is […]
Those regulated by the FCA are now expected to have identified vulnerabilities in their operational resilience. But where do you start?
By using practical examples that reflect real-world SMCR dilemmas you can ensure that staff know how to apply what they have learned in training.
When the SMCR created a step-change in personal accountability, it caused a headache, especially for those who've never been accountable before.
We discuss the major compliance issues facing the financial services industry in 2022 from data, due diligence, IFPR, mitigations and systems to the SMCR.
By understanding the aims of the FCA that underpin the SMCR, you can better meet its expectations. But what are these aims?
Consumer vulnerability in the UK has received a great deal of attention over the last few years. It's especially important in times of disruption or […]
The autumn is often when preparations often begin for annual reassessments of fitness and propriety for Senior Managers (SMFs) and Certified Persons.
A lack of public confidence and some damaging press stories have renewed the FCA's focus on conduct, including non-financial misconduct.
Financial firms are increasingly using social media to communicate information and promote products. But, how can you do so and stay compliant?
So far, 2021 has seen the level of FCA fines drop off a cliff. Perhaps all of that compliance training is paying off. The alternative […]