Compliance Training Blog

This month's FS round-up includes fines for Prudential & Tullett Prebon, travel insurers warned over high commissions, FCA review of unit-linked trust...

SM&CR is a real opportunity to establish healthy cultures, effective governance, and greater personal responsibility. Those firms that do will build a ...

Our pick of the biggest compliance news in Financial Services this month: This month's roundup includes fines for destroying documents & money launder...

Skillcast hosted a special networking breakfast at The Gherkin in London on Tuesday 24th September to present tools for meeting SM&CR training, attest...

Our pick of the biggest compliance news in Financial Services this month: This month's roundup includes fines for Standard Life & Cathay, KPMG dismiss...

The extension of the SM&CR to FCA solo-regulated firms will impact over 50,000 financial firms.

Our pick of the biggest compliance news in Financial Services this month: This month's roundup includes fines for BOS, HSBC historical debt collection...

The extension of the Senior Managers and Certification Regime (SM&CR) to FCA solo-regulated firms takes place on December 9 2019. With less than 5 mon...

The extension of Senior Managers and Certification Regime (SM&CR) to all FSMA authorised firms introduces a new ‘Duty of Responsibility’ for Senior Ma...

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...

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 ...

Here are the top news stories from financial services compliance over the past month, selected to highlight FCA action, the people dimension of compli...

Here's a selection of news stories from financial services compliance over the last month. These illustrate important messages coming from the FCA but...

This post aims to highlight items of news that touch upon the people dimension of regulatory compliance. For us, compliance is about people - their mo...

With Brexit preparations continuing apace, the financial services regulators have been busy through December and January. Our mission is to bring you ...

The end of year has proved to be very busy in financial sector compliance, with numerous publications concerning Brexit being issued on top of the ong...

An overview of the most recent and upcoming changes to FCA guidelines for senior managers...

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...