Under SM&CR, the FCA is placing increased emphasis on non-financial misconduct in firms and encouraging positive organisational cultures. Does your firm take incidents of bullying and harassment seriously?
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.
A Change of Terms
With the new Incoterms coming into effect from 1st January 2020, David Millett takes a look at what might change.
Dress Codes in the Modern Office
Parts of the UK have experienced the hottest July day on record, raising some interesting questions concerning office dress codes. Is it acceptable to make members of staff wear formal clothing, when temperatures are soaring? And are dress codes needed in the 21st century office?
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.
FCA Publishes Final Rules on Senior Managers and Certification Regime (SM&CR)
The FCA has published its final rules regarding the extension of SM&CR to FCA solo-regulated firms from 9th December 2019.
Handling Difficult Telephone Calls
For those in customer service roles, difficult telephone calls will happen from time to time. No one enjoys these situations, but how can we handle them effectively and professionally?
Gender and Leadership
What makes a person a good leader – their skills and abilities or their gender? Despite preconceptions that still prevail, diversity in leadership should be encouraged, particularly with SM&CR on the horizon...