Insurance Compliance

Operational resilience is “the ability of firms and the financial sector as a whole to prevent, adapt, respond to, recover and learn from operational disruptions.” The FCA is consulting on how firms can build operational resilience.

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.

The FCA has recently been contacting firms to remind them that their firm details on Connect need to be checked at least once a year.

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?

On the 9^th 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.

There is less than a week to go until the arrival of SM&CR on the 9^th 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.

There are now less than two weeks to go until the arrival of SM&CR on the 9^th of December. Here we provide an overview of the Certification Regime under SM&CR.