The problem with most firms, whether they be IFAs, Stockbrokers, Payment Services or whatever sector, is that the Compliance Officer is treated unfairly, if they…
Compliance is an ambivalent function. On the one hand you are viewed as the regulators’ ally inside the investment firm; overseeing the implementation of their…
SMCR and the inbuilt code of conduct rules are one of the strictest accountability codes of any industry with executives vulnerable to penalties including fines,…
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 Senior Managers & Certification Regime (SMCR) and Conduct Rules mark a new era for the UK’s beleaguered financial services industry. The new regime is…
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…
Military formations have long struggled to decrease the tension concerning the rigidity of their organisational constructions and the need for fast, definitive, imaginative leadership plus…
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…
That is with reference to a new report from Juniper Research, which predicts that spending on RegTech solutions, particularly, will increase from an approximated $18bn…