SMCR – Certification and Certified Persons, Significant Harm Functions
The Certification Regime currently requires firms to certify many mid- and upper-level staff – not just SMFs – as ‘fit…
Category SMCR
Read MoreSMCR – Certification and Certified Persons, Significant Harm Functions
Breaking Down the SMCR Shake-Up
The SMCR Shake-Up The latest SMCR shake-up is a major focus for firms and senior managers this year. HM Treasury…
Tackling Non-Financial Misconduct by September 2026
The FCA’s consultation paper CP25/18 marks a significant shift in regulatory expectations around non-financial misconduct (NFM). From 1 September 2026,…
5 New Initiatives from the FCA in 2025
The FCA’s 2025/26 Annual Work Programme introduces several completely new initiatives this year: 1. Remove administrative burdens A new platform,…
FCA’s Groundbreaking Survey Reveals Critical Insights on Non-Financial Misconduct
The Financial Conduct Authority (FCA) has released a significant survey that sheds light on patterns of non-financial misconduct across UK…
Firms Urged to Reassess Three Lines of Defence Model
Navigating Regulatory Changes: Rethinking Senior Management Function Allocations and Strengthening the First Line of Defence Model In a rapidly evolving…