This blog aims to provide a roundup of some of the biggest regulatory compliance headlines in the financial service sector over the last month. Select...
Sharon Williams
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Here's a selection of news stories from the last month that touch upon the people dimension of regulatory compliance. Select the links or scroll down ...
With Brexit preparations continuing apace, the financial services regulators have been busy through December and January. Our mission is to bring you ...
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The extension of Senior Managers and Certification Regime (SM&CR) to insurers introduces a new ‘Duty of Responsibility’ which applies to Senior Manage...
The PRA’s Senior Insurance Managers Regime (SIMR) and the FCA’s revised Approved Persons Regime (APR) have implemented a streamlined version of the Se...
Do you have questions about the extension of the Senior Managers and Certification Regime (SM&CR) to Insurers? You may be keen to understand what it w...
The extension of the Senior Managers and Certification Regime (SM&CR) to dual regulated insurers takes place on December 10th 2018. If your firm is in...
