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.
Understanding the Conduct Rules
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.
FCA Publishes Research into Gender Diversity in Financial Services
The FCA has recently published research, based on its own data, into gender diversity in the financial services industry.
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.
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.