The Senior Managers & Certification Regime (SM%CR) has led to 34 investigations by the Financial Conduct Authority (FCA) and just one successful enforcement action since it came into force in 2016, suggesting the landmark regulation “might not have the right tools for the job”, new research suggests.
With many of the requirements applicable to dual-regulated asset and wealth management sector firms as of December 2019, SM&CR introduces new administrative, regulatory and conduct rules that banks and...
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Cherry Reynard talks to New Talent Awards 2020 Financial Adviser of the Year Alex Johnston, who tells the story of his so-far short but unique career...
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