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…
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Many types of firms are and will be subject to the Duty of Responsibility and there are significant differences in the size of those firms.…
In today’s busy world, firms like yours require a swift, flexible, supporting and active response regulatory consultancy service, which will specifically include a broad array…
The SMCR Code of Conduct is freely available on the FCA Website, biut how did it come about? What’s the history of the SMCR and…
SMCR: How To Get It Wrong SMCR: just forms and box-ticking, right? Well, actually, no. And we can see that this assumption is an almost…