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SM&CR misconceptions: It’s all just a tick-box exercise
In this instalment Lorraine Mouat takes a look at another mistake firms can make when thinking about SM&CR.
SM&CR misconceptions: There’s no need to plan for unexpected delays
Even the best laid plans run into difficulties. In this instalment we examine how you need to factor in time for delays when it comes to SM&CR.
Skilled person reviews: What is the FCA looking at under conduct of business?
The FCA is making some changes to its focus under conduct of business. Don Scott gives you the insight you need to know.
SM&CR misconceptions: You don’t need help
Here's why independent assurance is a must for SM&CR compliance
Answer three questions to protect your fund and your clients from liquidity risk
Recent issues have highlighted the need for stock liquidity risk management. Technical Director Don Scott says 3 questions can help you get started.
Don't be fooled by Brexit uncertainty
It's still business as usual in the regulatory world. Technical Director Don Scott explains how you can avoid being caught out.
Taking Reasonable Steps with Mini-bonds
Mini-bonds are under the regulatory spotlight. David Boyhan delves into what mini-bonds are and what can be learned from recent failures in the market.
What’s on the FCA research agenda?
In conjunction with its 2019/20 Business Plan, the FCA has published its research agenda, which highlights its current areas of interest across five key areas.
Regulation in 2019: Our outlook
SM&CR is one of the biggest changes on the horizon for 2019 and could potentially cause a compliance headache for the advisory sector. We share our outlook on this regime and others for the year ahead.
12 months of MiFID II
MiFID II recently hit a significant milestone, having been in force for 12 months. We examine the impact it has had on the industry.
SM&CR: What can be learned from the banking sector?
For solo-regulated firms, the forthcoming extension of SM&CR represents the next major regulatory change on the horizon.
Brexit: Where are we now?
As the Brexit saga continues to unfold, we bring you a digest of Brexit in January 2019 and look at how the regulator is responding.
SM&CR: A spotlight on individual accountability
By end of this year, senior managers could be held personally accountable for any conduct failings within their areas of oversight under SM&CR...
A Compliance Christmas Carol
Let Scrooge's three ghosts take you on a journey of compliance past, present and future.
FCA issues Impact Assessment on EU withdrawal
On the 29th November the FCA responded to the requests of the Treasury select committee by publishing an impact assessment paper on the UK's departure from the EU...
Could GMP equalisation lead to a shake up of pension redress?
Pension benefits now need to be gender equalised, accounting for the impact of GMP. TCC's Head of Actuarial and Redress, Harry Eastwood, examines...
We've put together an interactive Brexit roadmap. It covers the key Brexit events and explores the issues that firms may encounter when trading in capital markets.
Taking the initial steps to SM&CR compliance
Many firms have started their program or are in early stages of preparations, but it’s not too late to take the initial steps towards SM&CR compliance...
Firms asked to speak up about their risk conduct frameworks
In September 2018 the FCA requested detailed information from a small number of firms on their conduct risk frameworks. TCC's Lorraine Mouat discussed the issue.
Regulators present feedback to Skilled Persons Review Panel on cyber security and procurement
In their latest Supervisory Meeting the FCA and PRA presented some key statistics and outlined their ongoing approach to the S166 panel.
FCA consults on overdraft proposals to protect consumers in the high-cost credit and overdraft sectors
High-cost credit is used by over three million consumers in the UK, generally those who are the most vulnerable. In light of this, the FCA is continuing its focus on the protection of consumers and its ongoing assessment of vulnerability.