Call for surgical approach to changes to SM and CR regime
PIMFA has called for surgical approach to any changes to SM and CR regime
Source: actuarialpost.co.uk
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In finance, having functional responsibility now means personal liability
In the long shadow of the global financial crisis, the Central Bank of Ireland, along with other regulators throughout Europe, has been paying close attention to the culture within the financial services sector.
United Kingdom Central Bank Individual Accountability Framework Senior Executive Accountability Regime Senior Managers Certification Regime
Source: independent.ie
FCA posts improved SMCR approval times but AR permissions still lagging
The Financial Conduct Authority has revealed the average days taken in 2022-23 to process five key authorisations that affect brokers were within its target
Financial Conduct Authority Senior Management Certification Regime Financial Conduct Authority Fca British Insurance Brokers 039 Association Biba Nited Kingdom Uk
Source: insuranceage.co.uk
Horizon Scan for Private Investment Funds: Key Recent and Expected Funds, Regulatory and Tax Developments to Look Out For - May 2023 | Goodwin
Welcome to the second edition of our Horizon Scan, where we focus on some of the principal recent and expected developments and changes that we expect to be of interest to those in the...
Source: jdsupra.com
HMT and Regulators Move Forward with SMCR Review | Katten Muchin Rosenman LLP
Following our recent article on the Government’s proposed reforms to the Senior Manager and Certification Regime (“SMCR”) (available here), HM Treasury (the “HMT”) launched a call for...
United Kingdom Prudential Regulatory Authority Financial Conduct Authority Senior Manager Certification Regime
Source: jdsupra.com
Simon Collins: Regulatory transformation on the horizon
Given the flow of communications coming from the Financial Conduct Authority over recent weeks, the regulatory landscape is beginning to look transformative. This year’s Business Plan sets out where it will be focusing its attention and ever-growing resource. Running in parallel is the follow up to The Edinburgh
United Kingdom City Of Central Bank Financial Conduct Authority Prudential Regulation Authority Business Plan
Source: moneymarketing.co.uk
Consumer Duty: Getting ready for the next stages of implementation
The Financial Conduct Authority's (FCA) Consumer Duty has been dubbed a watershed moment for the retail financial services industry, raising the threshold for good consumer outcomes and marking a step change in how firms should be approaching regulatory change.
Consumer Duty Consumer Champion Senior Management Certification Regime Bny Mellon Pershing Linda Gibson
Source: professionaladviser.com
Uncovering advisers' attitudes to personal compliance: IFA Magazine readers' HRComply survey lifts the lid on how well advisers are keeping up to date with changing regulatory requirements
To better comprehend how financial advice professionals understand the detail of personal compliance and how this plays out within the advice business, IFA
United Kingdom European Union People Compliance Consumer Duty Certification Regime Retail Distribution Review
Source: ifamagazine.com
Consumer Duty: Preparing for the next stages of implementation
Linda Gibson of BNY Mellon Pershing looks at the opportunities and challenges presented at this stage of the compliance process
Consumer Duty Consumer Champion Senior Management Certification Regime Linda Gibson Bny Mellon Pershing
Source: investmentweek.co.uk
UK Regulatory Changes on the Horizon? FCA, PRA, Treasury Launch Review of SMCR | Morgan Lewis
The UK Financial Conduct Authority (FCA) and Prudential Regulation Authority (PRA) published a discussion paper on 30 March 2023 seeking opinions on the Senior Managers and...
City Of United Kingdom Morgan Lewis Jeremy Hunt United Kingdom Financial Conduct Authority Prudential Regulation Authority
Source: jdsupra.com