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SMR : 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.

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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

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Using KPIs to tackle individual accountability

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

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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

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

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

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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.

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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”.

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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.

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The 9 steps to addressing EVB in your T&C Framework

A whitepaper designed to help you successfully address Ethics, Values and Behaviours in your T&C Framework.

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The 6 Benefits of an Aligned T&C Framework

A whitepaper designed to help you discover the benefits of proactively reviewing and re-aligning your T&C framework