Key Committee Meeting Minutes Committee minutes are important as they show the data and information available and presented, decisions made, responsibles for the actions agreed…
Board of Directors – Understanding and Further Training? What does the Board of Directors do? It provides leadership of the organisation within a framework of prudent…
The Duty of Responsibility. Every Senior Manager has a Duty of Responsibility under the Financial Services and Markets Act 2000, which means that if a…
SMCR Reasonable Steps Have To Be Evidenced Get an Independent assessment of your steps – Today! What are reasonable steps? The introduction of the…
The Importance of Good Management Information (MI) and Reporting The significance and requirement of excellent operational detail (volumes, speed, performance indicators, controls, tolerances etc.) are…
Compliance Annual Reporting Annual Compliance Report Providing a written annual compliance report to board of directors in respect of compliance on an at least annual…
The FCA’s complaint handling requirements and the Financial Ombudsman Service (FOS). The FOS is an independent adjudicator of consumer complaints linked to the supply of…
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Obviously financial misbehaviour comes under the guise of financial crime, fraud or embezzlement, but non-financial misbehaviour can come in lots of guises such as, discrimination,…
Reasonable Steps – What Are They? What are reasonable steps? The introduction of the SMCR statutory duty of responsibility (SDR) places the onus on Senior…
