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The Treasury Select Committee asked the FCA to assess the impact of the UK leaving the EU. On the 29th November the regulator has responded with an impact assessment paper, which focuses on three key area areas: The UK leaving the EU without an agreement on the 29th March 2019 or after the transitio
The historic customer detriment caused by the actions of financial services firms has sent consumer protection to the top of the FCA’s agenda, with a focus on vulnerable customers. Firms are now under increasing pressure to review policies, procedures and controls to ensure they consider and prote
Watch the webinar recording! Now you’ve completed the analysis phase of getting GDPR ready, you’ll know where you need to update the current data you hold and make changes to your policies, procedures and business practices. In this webinar, we provide a 5 step framework to help you transition q
2017 ended on a wave of regulatory scrutiny of firms’ conduct and culture, which will continue into 2018. In the days of the Financial Services Authority (FSA), the focus was on complying with prescribed rules and building controls around them. The FCA then sought to move the focus to a higher pla
47,000 firms across financial services will be impacted by the extension of the Senior Managers and Certification Regime (SMCR) when it comes into force. SMCR will strengthen the regulator’s focus on individual accountability, culture and governance. Although we are still awaiting the final rules,
The extension of the Senior Managers and Certification Regime (SMCR) will impact approximately 47,000 firms across the breadth of the industry and the FCA’s latest consultation (CP17/42) provides the clearest indication of how the regime will be rolled out across the industry. Why is the regime
You may already be familiar with the Senior Managers and Certification Regime (SMCR), which came into force in March 2016, bringing a number of policy changes focused on increasing individual accountability in the banking sector. In May of the same year, Parliament also amended the Financial Servi
Earlier this year, John Griffith Jones gave a speech on what makes good conduct regulation. Not only did he shed some light on the FCA’s views of what will shape regulation in the future, but also reiterates what the regulator expects firms to be doing to ensure they are also promoting good conduc
