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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Blog
Priscilla Gaudoin
- Nov 19, 2021
Tips to Create Risk Ownership within your firm
One of the fundamental obligations applicable to all regulated firms is the need to implement appropriate processes to manage risks. But...
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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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Priscilla Gaudoin
- Sep 22, 2021
How to Demonstrate Good Governance
Corporate Governance isn’t just about who sits on your board and how often the board meets. It’s about the systems and controls as well...
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Priscilla Gaudoin
- Sep 15, 2021
Better Breach Management
A firm’s operational error log can provide a great deal of information about its compliance culture. Consider the following: Is it always...
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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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