Published Articles

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Underperforming, overreaching
Amid the disruption & turmoil of 2020, the Financial Conduct Authority’s ability to achieve certain of its longer-term…

Feb 2021
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Winter is coming – DP20/2 augurs prudential feats for investment firms
A recent discussion paper sets out to replace the patchwork of prudential…

Sep 2020
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Cultural star-gazing
The Financial Conduct Authority’s latest discussion paper on culture points to a new focus on the purpose under…

May 2020
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CP19/20 –Adequate Financial Resources
A recent missive from the FCA appears to place new requirements on firms with regard to ‘adequate financial resources’…

Oct 2019
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 The FCA’s ‘100 flowers’ discussion paper
“Culture and governance is a priority,” stresses the FCA. Yet pinning down how to repair and sustain positive beliefs…

May 2018
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Extension of the SMCR
The long-awaited consultation paper on rolling out the Senior Managers and Certification Regime to all…

Sep 2017