Three years since SM&CR was implemented in the banking sector, the FCA has conducted a review into how effectively the regime has been embedded. What can we learn from this?
Skilled Persons Reports
The FCA has recently published information on the number of skilled person reports commissioned by them since the start of the year.
RWA to Host SM&CR Workshop
RWA is hosting a SM&CR workshop on 12th September 2019 at the Chateau Impney Hotel, Droitwich, Worcestershire.
Training and Competence
The term ‘competent’ is frequently used – but how many people actually understand what it means? Robin Wood explains training and competence.
John King Adds Value to RWA’s Compliance and Consultancy Services
RWA is delighted to be working with John King, who left the FCA in April after 16 years in front line supervision. John brings wide-ranging and pragmatic regulatory knowledge to provide high-level compliance support.
Retirement involves a significant amount of future planning. This is even more crucial if you are a business owner and have employees to consider too. Peter Stokes looks at why retirement planning is so important and how it can be managed.
FCA Publishes Final Rules on Senior Managers and Certification Regime (SM&CR)
The FCA has published its final rules regarding the extension of SM&CR to FCA solo-regulated firms from 9th December 2019.
FCA Consulting on the Treatment of Vulnerable Customers
The FCA has launched a consultation on proposed guidance for firms regarding the consistent fair treatment of vulnerable customers.
Thinking Beyond Implementation
SM&CR comes into effect in a few months. The new regime should be treated not just as a list to be ticked off by 9 December 2019 but also as an opportunity to embed genuine cultural change throughout an organisation.