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.
Understanding the Certification Regime
There are now less than two weeks to go until the arrival of SM&CR on the 9th of December. Here we provide an overview of the Certification Regime under SM&CR.
FCA Consultation on Regulatory Fees and Levies
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.
Responding to Negative Feedback
Accepting negative feedback is not easy, but there are things we can do to change our mindsets and focus on the positives. Jessica Capper looks at how feedback can be dealt with effectively.
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…