Ensuring that compliance is embedded into an organisation’s structure is vital to determining a business’ success. But how can businesses ensure that they are cultivating the right culture in the workplace?
Warning for firms who have failed to comply with SM&CR
Are you compliant with SM&CR? The regulator has reminded firms who have not submitted details of Directory Persons to the Financial Services Register.
Fitness, Propriety and Conduct in Financial Services
Firms have a responsibility to reasonably ensure staff are ‘fit and proper’ to carry out their roles. What should firms be doing to implement the FCA’s fitness and propriety requirements?
Certification Staff and the Financial Services Register
The FCA plans to publish and maintain a directory of certificated persons on the Financial Services Register. Bruce Fayle explains how firms should submit the details of their certification regime staff.
The Purpose of Regulation and SM&CR
Kirk Ford provides a timely reminder about the purpose of regulation and the ethos behind the Senior Managers and Certification Regime.
FCA Provides Guidance on SM&CR Training Requirements
The FCA has provided guidance on what it considers to be good practice and poor practice in regards to Conduct Rules training and fitness and propriety assessments.
Fostering Positive Organisational Culture in a Changing World
Covid-19 has caused a radical change to our working lives. What impact will the pandemic have on organisational culture in financial services?
SM&CR and Coronavirus – The FCA’s Expectations of Solo-Regulated Firms
The FCA has published its expectations to help solo-regulated firms apply SM&CR during the coronavirus outbreak.
Delegation and the Conduct Rules
Under SM&CR, Senior Managers must ensure that, where they delegate their responsibilities, this is to an appropriate person and that they oversee this effectively. What does responsible and effective delegation look like in practice?