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FCA SMCR
The regime consists of three parts:
The SMCR aims to reduce harm to consumers and strengthen market integrity by creating a system that enables firms and regulators to hold people to account. As part of this, the SMCR aims to:
Seung Earm and Mark Taylor discussed the Senior Managers & Certification Regime at Global Relay's gathering of compliance professionals.
Jean Hurley5 min read
If you haven’t reviewed your valuation practices recently, now would be a good time to start.
In the week of International Women's Day, and with the Sexism in the City inquiry under way, we look at non-financial misconduct and the role of the regulators.
Emily Lemaire | Ashurst, Hannah Pack | Ashurst6 min read
Bovill founder Ben Blackett-Ord talks about some of the big compliance stories this year and gives his predictions for 2024.
Carmen Cracknell<1 min read
Assessing key points made by SEC enforcement chief Gurbir Grewal in his recent speech.
Sam Tyfield | Shoosmiths3 min read
In his regular column, Bovill’s Executive Chair Ben Blackett-Ord discusses how the Upper Tribunal will establish case law on ICR and SMCR.
Ben Blackett-Ord | Bovill2 min read
Gavin Stewart discusses why the case has taken so long and why there is no PRA sanction.
Gavin Stewart2 min read
Compliance professionals wrestled with current challenges at the latest Global Relay roundtable event in London.
Alex Viall5 min read
Further Reading