Category Archives: Miscellaneous
May19
‘Reasonable Steps’ in the Regulated World
Lucy McClements There is no doubt that being a Senior Manager Function holder (SMF) in today’s regulatory environment comes with increased risks. Regulatory expectations have been enhanced thus creating additional pressure on Boards and individuals to evidence their competence on …
Click here to read the rest of this entry
Posted in: FCA, Miscellaneous, Senior Managers Regime
Tagged in: Approval, Expert, FCA, FSExpert, McClements, senior managers regime, SMCR, SMF, Witness
Tagged in: Approval, Expert, FCA, FSExpert, McClements, senior managers regime, SMCR, SMF, Witness
Oct29
Treating EU customers fairly
While we have been known to suggest that the EU does not always act as it should, in some areas, whether right or wrong, it has at least the merit of consistency. One such area is its approach to determining …
Click here to read the rest of this entry
May6
Remember the world outside?
If you ever thought that Brexit had become an over-discussed issue, that must have been several months ago. It is a topic that is destined to succeed in fighting its way out of the shadows that have over-cast it. Whether …
Click here to read the rest of this entry