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156 results found
Ashurst | United Kingdom | 24 May 2023
SMCR Reform Five important changes that need to be made to the UK personal accountability regime
The industry has until 1 June 2023 to respond to the parallel call for evidence and Discussion Paper by HM Treasury, the PRA and the FCA on the…
Kingsley Napley | United Kingdom | 23 May 2023
The senior managers certification regime (SMCR) - fitness and propriety
Under the Senior Managers and Certification Regime (“SMCR”), which was introduced by the Financial Conduct Authority (“FCA”) to seek to remedy…
Lexology PRO | European Union, United Kingdom | 18 May 2023
Financial services: key UK & EU compliance updates (12 - 18 May)
The EU Council adopts MiCA, the UK’s PRA releases its policy for model risk management, and the EBA publishes its draft Regulatory Technical Standards on consolidation for investment fund groups – plus other key updates.
Ashurst | United Kingdom | 24 Apr 2023
SMCR Call for evidence: the reform that no one wants and no one asked for
SMCR is the gift that keeps on giving. Or certainly that's what the Government and, arguably, the regulators must think. With the publication of HM…
Burges Salmon LLP | United Kingdom | 24 Apr 2023
SMCR: a spring clean?
On 30 March 2023, the Financial Conduct Authority and Prudential Regulation Authority published a joint Discussion Paper (DP) heralding a ‘Review of…
Macfarlanes LLP | United Kingdom | 20 Apr 2023
PRA takes enforcement action under the Senior Managers & Certification Regime
The Prudential Regulatory Authority (PRA) has issued a fine against an individual under the Senior Managers & Certification Regime (SM&CR) for breach…
Lexology PRO | Australia, Belgium, Canada, etc. | 18 Apr 2023
Consumer protection: key risks for the financial services sector (Apr 2023)
The US CFPB issues guidelines on abusive practices towards consumers, the ACCC urges banks to improve their data quality, and Belgium issues new regulations on promoting virtual assets – plus other key updates.
Lexology PRO | European Union, Gibraltar, United Kingdom | 17 Apr 2023
The UK Consumer Duty: what businesses need to do
What actions should financial institutions be prioritising now to meet the 31 July 2023 UK Consumer Duty implementation deadline?
Lexology PRO | European Union, Gibraltar, United Kingdom | 12 Apr 2023
The UK Consumer Duty: what businesses need to know
A look at the key changes that will be imposed under the UK Consumer Duty and the implications for financial services institutions, from tighter governance to tailored training.
Taylor Wessing | United Kingdom | 3 Apr 2023
Review of the Senior Managers and Certification Regime
On 30 March 2023, the government and the regulators launched a review of the Senior Managers & Certification Regime (SMCR). It takes the form of a…
