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John Higgins and Maria Symeon share practical advice on documenting oversight, managing delegation, and evidencing challenge.
FCA SMCR
The Senior Managers and Certification Regime (SMCR) is a financial services regulation designed to impose personal accountability on senior managers at financial services firms and improve the conduct of all employees at these firms.
Overview
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Further Reading
Latest News
Firms should expect the Review's analysis to inform supervisory priorities, perimeter policy and future guidance across a range of areas, with the FCA continuing its plans to regulate for growth.
No new rules; the FCA's approach is to double down on the existing outcomes-based approach, with Consumer Duty, SMCR, and operational resilience frameworks remaining at the forefront.
Recent developments in crypto crime; can the law and regulators keep up?
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Forget the playbook of absolute risk aversion; the FCA is officially daring compliance to stop gold-plating the rules and start embracing responsible risk.
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Insights from the recent hedge funds event at Global Relay’s London offices. We discuss the change, the pain, and offer up some advice.
Our regular roundup of the latest news and developments from the FCA.
The new guidance provides a formal regulatory definition, centering on bullying, harassment, and violence.
