Poor HR practices leave advisers at risk of SM&CR breach
Risking SM&CR breaches
Most advisers are not doing enough in human resource compliance and are at risk of breaching Senior Managers and Certification Regime (SM&CR) regulations, Model Office founder Chris Davies has warned.
The RegTech platform today launched its bi-annual industry benchmark market report, which found compliance still the number one concern for the majority (80%) of advice firms. Davies, who has worked...
More on Regulation
FCA extends adviser fee deadline for majority of firms
For smaller and medium firms
Treasury Committee urges expansion of FCA's powers
Expanding the 'regulatory perimeter'
FCA to urge EU authorities to address PRIIPs failings
EU review to be completed this year
Investment Association weighs retail product labels for SRI funds
Part of raft of proposals to increase visability of SRI to retail investors
More news
Three things your clients may call you about this week ...
68 pension breaches in 12 months
Tavistock Wealth acquired by Titan Wealth in £40m deal
Targets £30bn AUM in five years
'It is a race to the bottom' - reaction to LGIM's 0.06% MPS launch
'Will impact the market'
Emma Nash: Uncovering hidden client assets
‘Full and frank financial disclosure'
'You need a concept of total return' - Liontrust, Multi-Asset Group of the Year
Winner of the Multi-Asset Group of the Year and ESG Solution of the Year at the 2021 PA Awards, Liontrust are growing into something of a force in the multi-asset arena. The firm's multi-asset head John Husselbee speaks to Cherry Reynard about its approach...
