SM&CR

Failing to be honest may be costly. The judgement in a recent Employment Appeal Tribunal, shows that the credibility of evidence offered by a claimant, witness or respondent in legal proceedings may be considered in fitness and propriety assessments.

The FCA has published Decision Notices against three firms and five individuals for acting without integrity.

The RWA team will be attending the BIBA 2019 conference in Manchester on 15 and 16 May. Please get in touch if you'd like to meet with us. We hope to see you there!

A key element of the upcoming SM&CR is for firms to be able to show who is responsible for what within the organisation. With the right organisational structure in place, it will be easier to prepare for this regulatory requirement.

Is your induction process well-planned – or do you leave new recruits to their own devices? Amy Foster explains why having a robust induction process is so important for both employers and employees.

Demographic change refers to the changing nature of the UK population and the differing financial needs of various groups in society. Those working in financial services should be aware of this when assessing customer needs.  

The FCA has published its business plan for 2019/20, announcing its priorities for the year ahead.

It has been reported that Lloyd’s of London will introduce a new code of conduct in an effort to address problems with drink and drugs at the 331-year-old insurance market.

The FCA has issued a ‘Dear CEO’ letter to all authorised general insurance firms setting out their expectations regarding the fair treatment of customers in the manufacture and distribution of insurance products.