2020 was a tumultuous year for most of the UK population, regardless of what sector you worked in. Within the Financial Services Sector, not only did we go through our first taste of lockdown like the rest of the population, but had to do so whilst grappling with the implementation of SM&CR, waiting for new […]
2021 ended with a bang as the value of FCA fines against firms jumped to a staggering £577m, their highest value in six years. But whilst financial penalties might have grabbed the headlines, senior risk and compliance professionals can’t ignore the ever-growing list of regulatory considerations that compete for their time, budget and resources. In […]
Expert Insight into D&I, Non-Financial Misconduct, Culture, Certified Person's Regime and much more! Worksmart are proud Gold sponsors of this exciting 1-day event, which encompasses the guidelines around Senior Manager and Certification Regime (SM&CR), and how conduct and culture plays a huge part in this. This event brought to you by Informa, brings together a […]
The new Consumer Duty proposed by the FCA will place the responsibilities of a firm to avoid foreseeable customer harm squarely on the shoulders of Senior Managers and board members. There's no ifs or buts on this as the regulator plans to hold Senior Managers accountable for assessing whether the firm is delivering good outcomes […]
Get key insight into reasonable steps, mapping, HR implications and much more! Worksmart are proud sponsors of this exciting virtual event, which is completely focused on the introduction of SEAR (Senior Executive Accountability Regime) to Ireland's financial firms that are subject to regulatory compliance. Back in July 2018, the Central Bank of Ireland proposed an […]
In 2022, Wealth Management firms face a daunting schedule of regulatory changes. ESG, Operational Resilience and Consumer Duty are just a few critical areas amongst many others that are competing for your time, limited budgets and finite resources. In this FREE 60-minute webinar hosted by PIMFA, Worksmart’s Director of Regulation & Market Engagement Julie Pardy […]
