When Accountability Fails
Explore what a recent FCA enforcement action reveals about the importance of strong SMCR management, individual accountability, and effective governance.
SMCR
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The Future of SMCR: Why Accountability Matters More Than Ever
The UK’s Senior Managers & Certification Regime (SMCR) is entering its next phase of evolution.
SMCR’s Next Chapter: What the FCA Changes Mean for Firms
The latest reforms introduce operational flexibility, but firms must still maintain strong accountability and governance controls.
SMCR Is Evolving – Accountability Still Leads The Way
Over the next 18 to 24 months, the UK’s Senior Managers and Certification Regime (SMCR) is expected to undergo reform.
FCA Raises The Bar For Senior Management Applications
What Firms Need to Know to Stay Compliant The Financial Conduct Authority (FCA) has issued new guidance aimed at improving the quality and consistency…
Complying With FCA’s Supervision Priorities
The Financial Conduct Authority (FCA) has recently communicated with firms in the Asset Management and Alternatives sector to build on the supervisory direction set…
Using Data to Monitor Employee Conduct in the Wake of Bonus Cap Increases
As Bonus Caps Increase, So Could Risk Barclays recently became the first major British bank to significantly raise the bonus caps for its senior…
Answering the Needs of the Global Compliance Market
2016 to 2024: A Decade of Regulatory Transformation The world of regulatory compliance is one of constant evolution, driven not only by the ever-changing…
Navigating FCA’s Consumer Duty Requirements as the Deadline Approaches
Putting The Consumer First As the Financial Conduct Authority (FCA) continues to move toward the implementation of Consumer Duty, on July 31, 2024, financial…