Senior Manager

Do you mark your own homework?

17 May 2023 Paul JayCompliance

Most firms will have at least vague recollections of the FSA’s thematic review of pension switching and the report it

8 February 2023 Paul CaineCompliance

This article will be of relevance to firms who have provided pension transfer advice to members of the British Steel

13 July 2022 Paul JayCompliance

The FCA has issued final guidance (FG22/4) for regulated firms entering into, or considering entering into compromise arrangements with creditors

5 May 2022 Lisa CrossCompliance

We have been advised by the FCA as follows: “Following our recent revalorisation of the application fees earlier

1 March 2022 Alistair MacDougallCompliance

You read it here first – probably! The FCA has finalised new rules around disclosure in relation to sustainability.

28 January 2022 John BeggCompliance

Regulatory references are central to the Senior Managers & Certification Regime (SM&CR). They help firms make informed decisions about the

11 January 2022 Paul CaineCompliance

The FCA is requesting that firms who have general insurance permissions (and premium finance providers), complete an online survey in

10 January 2022 Shirley McKenzieCompliance

The FCA has advised upcoming changes to authorisation application fees as follows: “On 24 January we’ll be simplifying

23 November 2021 Huw ReynoldsCompliance

We wrote recently about the Conduct Rules and, in particular, breaches and notifications . See here. This article is intended

2 November 2021 John BeggCompliance

Occasionally, we come across firms that are ‘Principal Firms’ – i.e. the firm has Appointed Representatives (AR) but where one

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