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Risk Management Industry News for FCA Regulated Businesses

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FCA, SM&CR

Final call for Senior Managers ahead of SMCR deadline

Time is running out to prepare for the Senior Managers and Certification Regime (SMCR), which will be rolled out across the financial services sector from 9 December, raising standards and introducing new levels of accountability.

It will see a...

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Regulation, SM&CR

Senior Managers Regime tops list for keeping CEOs awake at night

The Senior Managers and Certification Regime (SMCR) has been revealed as the biggest concern for CEOs within the investment management and financial adviser sector.

What is more, the 2019 CEO Sentiment Research Report, from trade association PIMFA,...

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FCA, SM&CR

FCA shares experiences of SMCR in Banking

Very soon many of the organisations supervised by the FCA will have to conform to the Senior Managers and Certification Regime (SMCR). As many people know the SMCR already applies to UK banks, building societies, credit unions, branches of foreign...

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Brexit, Cyber Crime, AI, SM&CR

5 challenges for risk managers in 2019

With the UK facing unprecedented political uncertainty and economic volatility, risk managers are under an increasing amount of pressure to mitigate the impact of external forces on their organisations.

Below we consider 5 of the key challenges that...

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Compliance Management, SM&CR

Senior managers face scrutiny as SM&CR sweeps in

The clock is ticking as many prepare for the FCA’s Senior Managers and Certification Regime (SMCR), which is poised to be hugely influential in terms of its impact on firms’ culture and operations.

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SM&CR

SMR Extends its Reach - Risk Managers Take Note

The Financial Conduct Authority is to extend the reach of its Senior Managers Regime, affecting some 47,000 additional financial services firms and 200,000 individuals. For those risk managers currently not subject to the regime, there is potentially...

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