CP19/20 –Adequate Financial Resources A recent missive from the FCA appears to place new requirements on firms with regard to ‘adequate financial resources’…
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…
Extension of the SMCR The long-awaited consultation paper on rolling out the Senior Managers and Certification Regime to all…
Warning knell for retail… The recent consultation paper on boosting protections for retail contract-for-difference customers represents a…
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…
Applying the SMCR to out-of-scope firms Investment firms that are not yet subject to the Senior Managers and Certification Regime should be arming themselves…
Nov 2015
Preparing for a regulatory visit
June 2015
S&I Review- Keeping up with CASS
May 2015
Dec 2014
Conduct Risk and the Single Firm
Mar 2014
S&I Review- Enforcement
Feb 2014
Oct 2013
Regulation, Jim, but not as we know it
Jun 2013
Shoot First
Mar 2013
Oct 2012
And the Gold Medal goes to…
Sep 2012
Lend me your Ears
Apr 2012
Wheatley’s New Shoes
Mar 2012
Nov 2011
Complinet
May 2011
Powerchex
Apr 2011
Mar 2011
Turn and Face the Strange
Feb 2011
Oct 2010
Oct 2009
Financial Times
Jun 2009
Compliance Reporter
Mar 2009
Feb 2009
