The FCA is consulting on proposed policy changes to way it raises fees from 2020/21.
FCA and PRA Publish Decision Notices Given to Former CEO
The FCA and the PRA have banned and fined the former CEO of a small mutual insurer, with fines of £78,318 and £76,180 respectively.
Understanding the Senior Managers Regime
Senior Managers are the most senior people in a firm with the greatest potential to cause harm or impact upon market integrity if they do not perform their duties appropriately. Here we provide an overview of the Senior Managers Regime under SM&CR.
The Risk of Non-Financial Misconduct
The Prudential Regulation Authority (PRA) has expressed ‘deep concern’ over reports of sexual harassment and bullying within the London market and has called on the general insurance sector to do more to improve organisational culture.
SM&CR – Are you ready for the 9th of December?
With the arrival of SM&CR imminent, firms should by now be prepared for the new regime. Here’s what you need to know before the implementation date…
Diversity and Inclusion – Doing More
Why more needs to be done on diversity and inclusion, and how this links to the upcoming Senior Managers and Certification Regime (SM&CR).
Conduct Rules Training – Are Firms Prepared?
Our research suggests that only 14% of firms have trained all relevant staff on what the conduct rules mean in relation to their individual job role. Does your firm understand what is required under SM&CR?
FCA Survey Into Data Collection Platform Improvements
The FCA has announced potential improvements to its new data collection platform, based on user feedback.