Tag: SMCR

In an increasingly regulated and fast-moving market, surveillance has evolved from a simple compliance requirement into a key strategic advantage. Financial institutions are beginning to...

ACA Group has unveiled a comprehensive Market Abuse Risk Framework aimed at helping UK and European buy-side firms strengthen their compliance and risk management processes.

Governance, risk and compliance (GRC) has become a strategic priority for UK firms. With the Financial Conduct Authority’s (FCA) Consumer Duty now in force,...

A recent conviction of a former analyst at a UK-based investment firm for insider dealing has sent a clear signal across the financial services...

IT departments across regulated sectors are facing an unprecedented challenge: managing the sheer volume of communications data created daily. According to Wordwatch, from emails...

Two of the UK’s biggest financial regulators are investigating the ties between US financier Jeffrey Epstein and Barclays’ CEO Jes Staley, the bank has revealed.

The Senior Managers and Certification Regime (SM&CR) was set up in 2016 to ensure accountability among financial services.

SM&CR has increased emphasis on personal accountability within firms and caused many senior managers to abandon ship for less risky roles, Ascent partner lead Maria Phillips told FinTech Global.

The UK’s Financial Conduct Authority (FCA) has released a consultation on how to apply the Senior Managers Regime (SMR) to benchmark administrators.

Redland, which designs compliance solutions for financial services, has been selected by Natixis Investment Managers UK to support regulatory requirement needs.