18 July 2017
Over the coming weeks, the Financial Conduct Agency will shed light on how it intends to roll out the Senior Managers and Certification Regime (SMCR) to the rest of the financial services industry.
21 June 2017
What steps should companies take to prepare their employees?
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.
Our financial services industry experts can guide you through UK or international regulations.
Partner, Co-Head of Financial Services
David co-leads the UK Financial Services Practice at RSM. His areas of expertise span a broad range of investment and trading businesses. These include asset & wealth managers, broker/dealers, prop traders, retail and institutional stockbrokers, investment banks and Fintech. David also sits on the RSM FCA Section166 skilled persons panel.