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...
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