Senior staff will soon face potentially unlimited fines if they fail to meet conduct standards under incoming rules that have already enabled the FCA to "bare its teeth" in efforts to transform the culture of the markets it regulates.
The Senior Managers & Certification Regime (SM&CR) will apply to the wider financial services sector from 9 December 2019, placing upon it new administrative, regulatory and conduct requirements that banks...
Criticism of FCA register post SMCR
Filling Christopher Woodlard’s shoes
Three hours in front of regulators
Figures for Q2 and Q3
'Advisers are the GPs of investing'
Keep your paraplanners close
Outside the family circle
PFS renews its warning to industry
In relation to 151 bonds