SMCR is one of the strictest accountability codes of any industry with executives vulnerable to penalties, including jail, for failings beneath their oversight.
This post summarises the steps which core and limited scope and enhanced firms are likely to have to take in order to adhere to the…
The philosophy of “conduct risk” has bubbled to the top of firms’ and regulators’ agendas in the last few years. In the UK, the FCA…
http://fca-compliance-risk-assessment-fully-editable-template-manual.co.uk OK, So Why Should I Need A Compliance Manual? For any Compliance Officer, Compliance Manager or CF10/SMF16 who has been in the UK…
FCA Compliance Consultancy Services The Need For FCA Compliance Consultancy: Global financial services sector faces relentless scrutiny and oversight. Missteps are costly, both financially and reputationally.…
