Since its inception in 2016, the Senior Managers and Certification Regime (SMCR) has served as a cornerstone of the UK’s financial services regulatory landscape, designed to enhance individual accountability and raise...more
Since its inception in 2016, the Senior Managers and Certification Regime (SMCR) has served as a cornerstone of the UK’s financial services regulatory landscape, designed to enhance individual accountability and raise...more
If anyone thought that the financial regulators’ interest in DE&I was cursory, passing or just a band-wagon-jumping exercise, think again. All regulated firms will have a great deal of work to do in the coming years; both...more
Helping to prepare FMIs, payment and e-money firms for proposed implementation...more
Confidence -
The FCA has just upped the ante with regard to whistleblowing with its latest campaign “In confidence, with confidence”, designed to encourage individuals working in financial services to report potential...more
On 26 July 2017, the FCA published its much-anticipated consultation paper on the extension of the Senior Managers and Certification Regime (SMCR) to FCA-only authorised firms. We have set out below our initial thoughts on...more