Why Managing Conflicts should still be on your agenda!
Conflicts of interest is a subject matter that should be relatively easy to understand and as such, straightforward when it comes to...
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Blog
Priscilla Gaudoin
- Sep 6, 2022
SM&CR: an update for FMIs
UK Government issued a consultation paper last year setting out its proposals to replicate the Senior Managers & Certification Regime...
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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
- Mar 8, 2022
Manage Risk & Stay Out of the Headlines
Managing regulatory risk should be a priority for regulated firms, but how well does a board understand its obligations? How does a board...
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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 15, 2021
Accountability in Financial Services
Since the financial crisis of 2008 regulators worldwide have been introducing reforms to improve individual accountability within firms. ...
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Priscilla Gaudoin
- Aug 10, 2021
Creating Resilient Payment Services
This was the view of the Payment Systems Regulator (PSR) back in 2015 when the PSR was still relatively new. Six years later and it’s...
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Priscilla Gaudoin
- Aug 2, 2021
FMIs, Get set for SM&CR
HM Treasury issued a consultation earlier in July. The proposals signal HMT’s intention to extend the Senior Managers & Certification...
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Priscilla Gaudoin
- Jul 27, 2021
Operational Resilience – Is Outsourcing on your Radar?
With the publication of final policy statements there is a clear message that firms must look externally at third party relationships as...
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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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