Chris Davies: Why adviser HR strategies just became all-important
SM&CR, compliance and HR
Chris Davies explains why HR is now a key compliance function which plays a central role in managing systems, controls and processes that keep advisers on the right side of SM&CR
With the new SM&CR accountability regulation upon us, what is apparent is that retail investment adviser firms, no matter how small they are, need to ensure they have HR development (HRD) strategies and...
More on Regulation
Chris Davies: The FCA business plan 2020/21
Focusing on key outcomes
FCA unveils 'flexible' Gabriel replacement RegData
Firms to be moved in stages
FCA consults on prudential investment firm rules: Targets liquidity, remuneration and capital requirements
FCA calls for industry views on post-Brexit prudential rules
£1.3bn fraud claim filed against HSBC UK Bank for 'sham' film investment scheme
'Catastrophic for unwitting investors'
Back to Top
More news
Neil MacGillivray: Who pays to rebuild the UK economy?
Council tax and pension contributions
Lloyds CEO steps down as Robin Budenberg appointed chair
António Horta-Osório to step down in 2021
Portuguese firm to compensate UK client for unsuitable SIPP transfer advice
Unregulated investments
Alex Farlow: Real assets and their role in multi-asset portfolios
Many considerations
