How can we improve corporate governance?
The term corporate governance was introduced during the 80s and 90s to describe best practices for listed companies. It followed the...
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Blog
Priscilla Gaudoin
- Jul 22, 2022
Do amended CPD requirements offer greater flexibility?
One of the fundamental obligations applicable to all regulated firms is the need to implement appropriate processes to manage risks. One...
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Priscilla Gaudoin
- Mar 16, 2022
Assess & Prove Competence
The Senior Managers & Certification Regime (SM&CR) was first introduced in 2016 for banks and then phased in until it was finally...
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Priscilla Gaudoin
- Jan 21, 2022
How well do you know your Appointed Representatives?
In December 2021, the FCA published its proposals for improving the oversight of appointed representatives. Regulatory expectations: The...
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Priscilla Gaudoin
- Oct 29, 2021
Has SM&CR made a difference?
The Senior Managers & Certification Regime (SM&CR) for insurers took effect in December 2018. As part of the Solvency II regime,...
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John O'Dwyer
- Jul 21, 2020
HR & Compliance – Bridging the Gap in SMCR
Since the introduction of the Senior Managers and Certification Regime (SM&CR), it has been interesting to see how and where firms have...
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John O'Dwyer
- May 19, 2020
SMCR Responsibilities – Documenting Risks and Controls
In light of the turbulence caused by the Covid-19 pandemic, SMCR may have been pushed down the priority list for most firms for now. The...
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