Whistleblowing remains a significant area of focus for financial services regulators, who regard the way firms deal with whistleblowers...
Freshfields Risk & Compliance
The COVID-19 crisis raises novel issues for senior managers at financial services firms. We set out our 10 top tips for how senior...
The 5th of March marked the next step in the FCA’s focus on culture, with the publication of a series of essays looking at ‘purpose’....
The Senior Managers and Certification Regime (the “Regime”) replaced the Approved Persons’ Regime in 2016 as a direct result of the...
The FCA has published a consultation paper on the Senior Managers & Certification Regime (SMCR) clarifying the application of the SMCR to...
Co-authored by Emma Rachmaninov Under new near final rules published this month, the senior managers regime (SMR) will apply to FCA...
By Christopher Robinson, Simon Orton and Melanie Fitzsimons According to the consensus of a selection of essayists writing in the FCA’s...