The FCA has introduced CultureSprint events to consider ‘psychological safety’ in the financial services sector. With SM&CR on the horizon, organisational culture is increasingly in the spotlight. The first event discussed ways in which a healthy culture, where employees can speak up and be listened to, is created and maintained.
FCA to host Brexit briefings for regulated firms
The FCA is to host Brexit briefings for regulated firms.
Regulatory References and SM&CR
Under SM&CR, ‘regulatory references’ will be required for new appointments to Senior Manager positions and for new recruits who will hold a Certification Function – but what will these look like? Kate Foreman explains…
Non-Disclosure Agreements in Employment Settlements
Recent high-profile cases have revealed incidences of powerful and influential individuals using non-disclosure agreements or ‘NDAs’ to silence people who could speak-out about alleged misconduct.
Are you up to date? All regulated firms are being reminded by the FCA that they need to check their list of registered users of Connect.
Do you turn a blind eye to bad behaviour?
Can you honestly state that your firm has a purpose and a culture that sets an example within the financial services market? Under SM&CR, it will no longer be acceptable to sit back and say that you turned a blind eye to bad behaviour because of weak culture and governance.
What can we reasonably say?
At a time of such noise and conflicting ‘truths’ about Brexit, what can we reasonably say?
Customer Service – Why it matters
Under the Insurance Distribution Directive (IDD), insurance intermediaries must have the minimum necessary knowledge of complaints handling. Here’s why having strong customer service skills provides a solid foundation for meeting this requirement.