FCA Priorities for the Year Ahead

The FCA has stated that a primary focus in 2020 is to mitigate the impact of Covid-19 on the markets and protect consumers. However, firms should not think that means that the regulator will adopt a light approach to current investigations and regulatory enforcement.

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Compliance during COVID-19 - Regulatory Update

In this period of uncertainty and pressure on firms, regulators around the world have been quickly changing their strategies to support firms, so they all can manage the situation at best.

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Regulators Expectations of Institutional Governance

You might have asked yourself “what governance expectations do regulators have?”. Well, regulators seek good governance and deem it critical that businesses deliver effective management to support and strengthen compliance. Regulators understand that firms affected by the COVID-19 crisis must adapt and review their actual governance, as necessary. 

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Make SMCR a Top Priority Today

We are now very close to the 9th of December and the implementation of the SMCR extension. During our recent webinar "Five key steps towards SMCR compliance", we asked the attendees how ready their organization is for the 9th of December.

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Survey Says Nearly Half of Brokers Aren't Aware of SMCR

According to a new survey by the British Insurance firm Ecclesiastical, nearly half of brokers aren’t even aware of the impending Senior Management and Certification Regime (SMCR), which takes effect on December 9, 2019. This is despite the fact that the SMCR has been extended to all insurance intermediaries and solo-regulated firms. 

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