Of particular relevance is section 14 – Knowledge and Competence requirements – which examines the impact these will have on competence management and T&C
Valuable lessons and pointers for Accountability 1 and Accountability 2 (2018 extension) firms.
This is an important development, as part of the new account regimes, which will present additional challenges for firms.
Key guidance on what the regulator will expect Senior Manager Functions (SMFs) to evidence to demonstrate they have taken “reasonable steps”.
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.
A whitepaper designed to help you successfully address Ethics, Values and Behaviours in your T&C Framework.
A whitepaper designed to help you discover the benefits of proactively reviewing and re-aligning your T&C framework
A whitepaper designed to help you get the best out of your CPD activities and improve your CPD management.
Medius consulting, a compliance consultancy, and Trailight have agreed partnership terms with the aim of providing a blended full-service provision to help firms manage the set
“Automation, transparency and audit trail – the IAR Platform helps me drive a culture of compliance and accountability throughout the firm, whilst getting us ahead of the curve on