Blog

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.

In recent days, an Official close to the US-China trade negotiations was quoted as saying a phase 1 agreement was ‘millimetres away’.  Even more recently a potential obstacle to progress arose as a result of Congress passing the Hong Kong Rights and Democracy Act.  So where does that leave matters and what does it illustrate?

The FCA has recently published research, based on its own data, into gender diversity in the financial services industry.

With the party season almost upon us, it’s time for a reminder of the standards of behaviour that firms need to maintain during any seasonal festivities, whether these are held in or out of the office, and the duty of employers.

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.

The FCA is consulting on proposed policy changes to way it raises fees from 2020/21.

The FCA and the PRA have banned and fined the former CEO of a small mutual insurer, with fines of £78,318 and £76,180 respectively.

Senior Managers are the most senior people in a firm with the greatest potential to cause harm or impact upon market integrity if they do not perform their duties appropriately. Here we provide an overview of the Senior Managers Regime under SM&CR.

Accepting negative feedback is not easy, but there are things we can do to change our mindsets and focus on the positives. Jessica Capper looks at how feedback can be dealt with effectively.