SM&CR

The team at RWA has compiled its quarterly review of the FCA’s communication documents, covering the period from October to December 2019. Take a look and keep up to date with the latest FCA documentation.

The FCA has issued a ‘Dear CEO’ letter warning managers in general insurance to be proactive in tackling issues of non-financial misconduct.

2019 in the general insurance world, saw the extension of the Senior Managers and Certification Regime (SM&CR) to FCA solo-regulated firms. What impact will this have and what can we expect on the regulatory horizon?

Have you completed your CPD hours for this year? Avoid a last-minute rush and prioritise your professional development sooner rather than later.

On the 9th of December 2019, SM&CR was extended to FCA solo-regulated firms. In this article, we bring together our SM&CR-focused articles from throughout the year.

Performance reviews are important, but can often lead to tension and uncertainty among staff. How can the appraisal process be improved to provide a motivating and positive working environment?

There is less than a week to go until the arrival of SM&CR on the 9th of December. In this article we provide an overview of the Conduct Rules.

The FCA has recently published research, based on its own data, into gender diversity in the financial services industry.

With the party season almost upon us, it’s time for a reminder of the standards of behaviour that firms need to maintain during any seasonal festivities, whether these are held in or out of the office, and the duty of employers.

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