With little time remaining until the implementation of SM&CR on the 9th December, is your firm prepared?
Have You Registered for Connect?
The FCA has reminded firms that they need to register for its online platform, Connect, to update their firm details. This will be a requirement from January 2020.
FCA Urging Firms to Prepare for a No-Deal Brexit
The FCA has recently stepped up its efforts to ensure that firms are prepared for a potential no-deal Brexit. This comes with the warning that firms who are not appropriately prepared may face an impact on their business.
SM&CR and the Banking Sector – What can we learn?
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.