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Regulatory enforcement in lockdown and beyond

United Kingdom - March 2 2021 The pandemic has created a raft of new risks for firms and their employees alike. What effect will the events of 2020 have on the enforcement…

Nathan Willmott.

Operational resilience in the time of Covid: A new regulatory framework for firms

United Kingdom - February 28 2021 Covid-19 posed an unprecedented challenge to the operational resilience of the financial services sector in 2020. But despite a generally positive…

Anthony Williams, Samantha Paul.

SMCR Update - What best practice looks like

United Kingdom - September 10 2020 The FCA has recently updated its Senior Managers and Certification Regime (“SMCR”) webpage for FCA solo-regulated…

SMCR for FCA-solo regulated firms - How to survive implementation

United Kingdom - February 25 2019 The FCA recently released the latest in a long series of papers relating to the Senior Managers and Certification Regime (“SMCR”). FCA Consultation…

Polly James, Samantha Paul.

The journey from SIMR to SMCR for insurers

United Kingdom - January 28 2019 Insurers, reinsurers and managing agents (which we will refer to in this article as “insurers”) will be fully within the scope of the Senior Managers…

Polly James.