Search Results
There are 16 item(s) tagged with the keyword "SM&CR".
Displaying: 11 - 16 of 16
- 11. SM&CR: Ensure your employees are Fit and Proper
-
Mark Greenwood of The SimplyBiz Group takes a look at the practicalities and application of the FCA’s Fit and Proper requirements
- 12. Don't take your eye off the SM&CR ball
-
Our director of compliance services, Mark Greenwood, explores the ways in which 9 December 2019 was only the start of the SM&CR journey for advisers.
- 13. Guidance provided around the Senior Managers & Certification Regime during COVID19
-
A look at the regulator’s guidance in this rapidly developing area.
- 14. Don't put SM&CR on the back burner
-
Richard Nuttall, director of compliance policy at The SimplyBiz Group, said the regulator's "sympathetic approach" to those firms affected by the coronavirus was to be applauded, but warned the extension was not a "concession for all firms to delay their fit and proper assessments".
- 15. Get prepared for the SM&CR deadline
-
"Virtual conversations and working digitally are now very much part of the ‘new normal' and employing them in your processes could help you be ready to meet the SM&CR December deadline." Janice Laing, Managing Director of Compliance First – part of The SimplyBiz Group, talks about the practical aspects of preparing for the upcoming #SM&CR deadline.
- 16. Working Lunch: "It's more important than ever to look at PI well before renewal"
-
In the latest Professional Adviser Working Lunch broadcast, Janice Laing, Richard Nuttall and Dan Russell discussed SM&CR, vulnerability, PI, tech and business efficiencies.
Displaying: 11 - 16 of 16