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What we found (part one) – the people challenges

07 February 2019

Our financial services survey on General Data Protection Regulation (GDPR) compliance found that financial services firms aren’t fully confident in their DPO or resource.

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GDPR compliance in the financial services sector

07 February 2019

To gain insight into how the financial services sector is managing ongoing GDPR compliance the financial services team at RSM recently conducted a survey in the sector to take the pulse in relation to level of confidence in key areas. Over the coming weeks we will be sharing insights from our GDPR experts on the key findings.

Gilbert Collison

Director

Gilbert is an experienced corporate lawyer advising mid-market companies, directors and high net worth individuals on a broad range of corporate legal issues across many business sectors.

Kerri Constable

Associate Director

Kerri has over 10 years’ experience in HR as well as over 5 years in HR consultancy. She worked in Investment Banking at the beginning of her HR career helping to set up graduate recruitment assessment centres for various banking entities.

FCA and PRA regulatory reference rules
David Fenton

13 June 2017

From 7 March 2017, the FCA placed a duty on all full scope regulatory reference firms (mainly banks, building societies and insurers) currently part of either the Senior Managers and Certification Regime (SM&CR) or Senior Insurance Managers Regime (SMIR) (relevant firms) to ensure that certain staff, including contingent workers or volunteers, meet the fit and proper regulatory standard.

Charlie Barnes

Associate Director

Charlie is an employment lawyer specialising in devising solutions for clients’ employment issues to achieve their objectives whether that be growth, change, cost reduction or minimising financial risk and reputational damage.

Carolyn Brown

Partner, Head of Client Legal Services

Carolyn leads RSM’s client legal services and is responsible for the broader development of RSM Legal’s services offering through RSM Legal LLP.

Tony Pierre

Partner

Tony has over 25 years’ experience as a partner working on corporate transactions with a range of clients from Full List, AIM companies and professional services’ firms in a range of sectors and overseas markets.

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