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Showing 1 - 10 of 105 matches filtered by 'Individuals and APER'

  • The Senior Managers and Certification Regime – HR aspects – are you up to speed?

    18/10/2018
    The impact of the SMCR on exits We will be holding the fourth and final webinar in our series "The Senior Managers and Certification Regime - HR impact - are you up to speed?" on Wednesday 24 October 2018 12:15 – 13:00 (UK time) in which we will consider the ...
  • Risk Matters: Insurance Sector Update - Winter 2017/18

    13/12/2017
    The latest edition of Risk Matters, highlighting issues impacting the insurance sector, is now available to download here. Highlights include an assessment of this year’s $100bn North American natural catastrophe season and how this could impact corporates and insurers; ‘the rise of the machines’ as autonomous vehicles nudge closer to ...
  • Individual responsibility - extending SMCR to the entire industry

    04/09/2017

    CMS UK held a seminar on 4 September on 'Individual responsibility - extending SMCR to the entire industry', led by Simon Morris and Alison McHaffie.

    The seminar covered:

    1. What’s going on?
    2. What will it look like?
    3. The implementation project
    4. Senior managers
    5. Certified & other staff – and what fit and proper means
    6. The rules – and what they mean

    The seminar slides are available to view/download via the link in the title.

    Download
  • The New Individual Responsibility Regime - Extending it across the Financial Services Industry

    03/08/2017
    On 26 July 2017, the FCA published consultation paper CP17/25 on the extension of the Senior Managers and Certification Regime (see our earlier report, which summarises the key proposals here). Our brochure looks at each of the key elements of the new regime, assessing how they will apply to non-banking ...
  • FCA consultation (CP17/25) on Senior Managers and Certification Regime

    26/07/2017
    Today the FCA published its consultation (CP17/25) on the extension of the Senior Managers and Certification Regime (“SM&CR”) to nearly all FCA regulated firms (including incoming branches of non-UK firms that have permission to carry out FCA regulated activities). The proposals regarding insurers are not covered in this consultation. See ...
  • CP17/18 and Investment Trust governance - coals to Newcastle?

    05/07/2017
    On 28 June 2017, the FCA published its long anticipated Final Report (the “Final Report”) on the Asset Management Market Study (the “Market Study”). The Final Report follows on from the interim report published in November 2016 and sets out the FCA’s final set of findings taking some account of ...
  • FCA consultation on Insurance Distribution Directive implementation (1)

    31/05/2017
    Background and RegZone reports RegZone is publishing a series of reports about UK changes to the definition of financial advice and UK implementation of the Insurance Distribution Directive (“IDD"). This RegZone report headed ‘FCA consultation on IDD implementation (1)’ looks at the changes to ICOBs considered in FCA consultation CP17/7. ...
  • New rules on regulatory references come in force in one month. Are you ready?

    09/02/2017
    The new rules in relation to regulatory references, which form part of the senior managers and certification regime, come into force in one month’s time on 7 March 2017. The new rules will apply to banks, building societies, credit unions and PRA-designated investment firms, branches of foreign banks as well ...
  • Alison McHaffie’s Financial Services Investigations and Enforcement Column: December 2016

    30/01/2017
    This article first appeared on Practical Law and is published with the permission of the publishers. What a difference a year makes. A look back at FCA enforcement activity in 2016 reveals a dramatic drop both in the number and the size of financial penalties being imposed by the FCA. ...
  • Regulatory references under the senior managers regime – final rules now published

    27/10/2016
    The final rules regarding regulatory references, which form part of the senior managers and certification regime, have now been published and come into force on 7 March 2017. The new rules will apply to banks, building societies, credit unions and PRA-designated investment firms, branches of foreign banks as well as ...