News

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FCA Transforming culture in financial services

DP20/1: Transforming culture in financial services – Driving purposeful culture.

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FCA Quarterly Consultation – March 2020

Important Proposals Announced in FCA in Quarterly Consultation 27

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FCA Directory News

On the 9th February, the FCA issued a new multiple amendment template for the FCA Directory. This builds on the multiple add template published last year.

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“Keep your eye firmly on SMCR regulation” – FT Adviser

Mark Greenwood writing in the FT Adviser outlines why firms should be continuing to keep their eyes on SMCR regulation during 2020.

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“Are your employees fit and proper?” – FT Adviser

Mark Greenwood writing in the FT outlines the three main concepts that the SMCR new rules and guidance are based on, and which all firms must follow.

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Regulatory Risks: 5 reasons to stop using spreadsheets

The regulatory dangers of spreadsheets and shared drives. 

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HR Systems and Accountability Regimes

HR Systems vs. Regulatory Compliance

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“SMCR has moved up the agenda” – FT Adviser

Louise Skinner writing in the FT outlines how SMCR has become a key consideration for financial firms.

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Press Release: SM&CR and Trailight’s Final Quarter

Trailight rounds off the year with yet more client wins for its IAR solution.

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Press Release: Trailight Growth

Trailight continues to win key customers with its Senior Managers and Certification Regime regulatory compliance solution.