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Senior Managers and Certification Regime extension: near-final rules published

The Senior Managers and Certification Regime (SMCR) is being extended to insurers and FCA-regulated firms. We review the revised and near-final rules.
15 August 2018

Senior Managers and Certification Regime: how to prepare for the transition

We look at the FCA's timetable for transitioning into the Senior Managers and Certification Regime and the steps that firms can take to prepare for the transition.
17 January 2018

Senior Managers Regime: FCA extends individual accountability regime

The FCA is now consulting on the extension of the Senior Managers and Certification Regime to the entire financial services sector. We outline the proposed core requirements below.
27 July 2017

Senior Management Regime: top tier enforcement risks

The regulatory focus on individuals continues: in the first of a series of blogs we summarise the risks for top-tier individuals holding Senior Management Functions.
16 December 2016

Regulatory references: making informed decisions on recruitment

In September 2016 the PRA and FCA published a final set of rules on regulatory references, following a consultation launched in October 2015. The new rules come into force on 7 March 2017.
14 October 2016

Publication

Speaking up in the financial services sector: new rules on whistleblowing

The PRA and FCA have introduced a new set of rules designed to bolster the culture of “speaking up” within financial services firms. These are relevant to all firms in the financial services sector.
14 October 2015

Publication

Why contractual employee benefits should reflect changing employee roles

We look at a recent case which has highlighted the risk of losing insurance cover when a policy is not updated following business changes.
06 May 2015
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