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Case Study: SMCR assurance
Bringing peace of mind to a firm before submitting to the FCA
Commercial success starts with culture
Where does culture come on your list of priorities? Lorraine Mouat looks at running a commercially successful business with culture at the top of your to-do list.
SMCR 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 SMCR.
SMCR 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 SMCR.
SMCR misconceptions: You don’t need help
Here's why independent assurance is a must for SMCR compliance
Webinar: How to successfully prepare for SMCR submission
In our on-demand webinar, Lorraine Mouat gives practical guidance on making sure your implementation plan is on track to deliver compliance.
Myth busting SMCR
TCC Technical Director, Don Scott sheds light on some of the common myths with the Senior Managers and Certification Regime (SMCR)
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.
Avoiding the unintended consequences of SMCR
Lorraine Mouat discusses how, with forward planning, firms can minimise the impact of the regime.
Webinar: Managing the employee lifecycle in the age of accountability
TCC's Lorraine Mouat discusses how the fast-approaching Senior Managers and Certification Regime (SM&CR) will affect firm's HR departments and influence the management of employees.
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.
SMCR: What can be learned from the banking sector?
For solo-regulated firms, the forthcoming extension of SMCR represents the next major regulatory change on the horizon.
Innovation is needed to tackle 'complacent' advice models
Ahead of the RDR review, it is a good time to take stock of the current state of the UK financial advice market. We discuss the topic for New Model Adviser...
SMCR: 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 SMCR.