Just one senior manager punished in seven years under SMCR
A Freedom of Information request (FOI) shows that the Financial Conduct Authority (FCA) has launched only 64 investigations under the SMCR, despite the fact
Source: ifamagazine.com
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The Morning Briefing: Adviser tech use and Fintel results
Good morning and welcome to your Morning Briefing for Tuesday 20 September 2022. To get this in your inbox every morning click here. Advice tech How is everything on the tech front when it comes to advisers? Not great according to research from NextWealth. It finds adviser adoption of new technology has stalled amid
Source: moneymarketing.co.uk
Senior managers regime sets accountability bar high, few are rejected or punished | Thomson Reuters Regulatory Intelligence and Compliance Learning
The UK's Senior Managers and Certification Regime (SCMR) sets a high bar for personal accountability, which means few senior management function holders' (SMF) applications are rejected...
Source: jdsupra.com
FCA's SMCR investigations halved in 2021
The Financial Conduct Authority launched fewer than half as many investigations into senior management misconduct in 2021 than in 2020.
Source: moneymarketing.co.uk
Bovill names Rebecca Thorpe as CEO
Rebecca Thorpe has been appointed as the new Chief Executive Officer of international financial regulatory consultancy, Bovill.
Source: finextra.com