Market Insights

MiFID II – Increased Focus on Competence

You could be forgiven for questioning how European regulation might impact financial services organisations in the coming months and years.

FCA consults on SM&CR Extension

A Tiered approach for over 46,000 firms

Senior Managers Regime : Are firms taking sufficiently reasonable steps to comply?

A whitepaper which provides insights from Medius Consulting as we approach the first anniversary of the initial implementation of the Senior Managers Regime in the UK.

SMCR: Paperwork or Performance?

Trailight hosted it’s launch event in fabulous style at 58 Victoria Embankment in Central London. We were joined by over 70 professionals from across the industry (50% under

Using KPIs to tackle individual accountability

How KPIs can allow you to link Individual Accountability Regime (IAR) requirements to company performance – By Charles Cattell.

FCA CP 16/29 MiFID II Consultation Paper III

Of particular relevance is section 14 – Knowledge and Competence requirements – which examines the impact these will have on competence management and T&C

FCA FS16/6, FS 16/7, FS16/8, FS16/9

Valuable lessons and pointers for Accountability 1 and Accountability 2 (2018 extension) firms.

FCA CP16/27 – Applying conduct rules to all NEDs

This is an important development, as part of the new account regimes, which will present additional challenges for firms.

FCA CP16/26 – Guidance on duty of responsibility

Key guidance on what the regulator will expect Senior Manager Functions (SMFs) to evidence to demonstrate they have taken “reasonable steps”.

Preparing for Individual Accountability: What firms need to consider

A whitepaper designed to help you prepare for the extension of the Individual Accountability Regime to all sectors of the financial services industry by – By Charles Cattell.