Published Articles

published articles
Compliance-Monitor-2020

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

May 2020

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

 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

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

Sep 2017

Warning knell for retail…
The recent consultation paper on boosting protections for retail contract-for-difference customers represents a…

Feb 2017
pub-articles-2016-11

Applying SMCR to out-of-scope firms
UK’s Senior Managers and Certification Regime can be just as tedious and time-consuming as anything emanating…

Nov 2016