Sharon Williams

Sharon Williams, Chartered Insurer, is Head of Compliance Content at Skillcast and a freelance Regulatory Consultant. Her compliance experience spans over 30 years and includes delivering Compliance Consultancy and holding various Compliance Management Roles within financial services firms. Sharon has been writing about Compliance issues since 2001.

What is SMCR Duty of Responsibility?

Sharon Williams examines how Senior Managers can protect themselves from enforcement action arising from the SMCR Duty...

SMCR for Insurance Firms Key Questions Answered

We answer 17 FAQs about how the extension of SM&CR to insurers will impact on almost every employee an insurance firm.

17 FAQs Answered About SMCR for Solo-Regulated Firms

SMCR for Solo-Regulated Firms Key Questions Answered

The extension of SMCR to solo-regulated financial firms affected 50,000 companies. We answer the 17 most frequently...

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Highest FCA Fines of 2019

The two largest FCA fines in 2019 were bigger than the 2018 total! After a bias to individuals in 2018, this year...

FCA Compliance News | Dec 2019

Our monthly FS compliance roundup includes Henderson fine, operational resilience, tax dodge CEO banned, CMA prompted...

FCA Compliance News | Nov 2019

Our monthly FS compliance roundup includes mortgage prisoners, finance commissions, AFM good practices, OFSI Annual...

FCA Compliance News | Oct 2019

Our monthly FS compliance roundup includes Prudential & Tullett Prebon fines, travel insurers warning, unit-linked...

FCA Compliance News | Sep 2019

Our FCA compliance roundup includes fines for destroying documents & money laundering, poor claims management Ads,...

FCA Compliance News | Aug 2019

Our monthly roundup of FS compliance news includes Standard Life & Cathay fines, KPMG dismissal, Nationwide refunds,...

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