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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 Regime (SMR) or Senior Managers & Certification Regime (SMCR) is the most far-reaching attempt to improve industry culture and to overcome the problems…
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