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Summary The Financial Conduct Authority has announced a series of fines for Banque Havilland SA and three of its employees for breaching principles of integrity
Ensuring that all staff within your firm are fit and proper to carry out their role is absolutely essential to your firm’s compliance efforts. That’s
If your firm is required to maintain a management responsibilities map, here’s what you need to know… Broadly, the requirement to create and maintain a
The creation and maintenance of handover materials is a key responsibility of senior managers under the Senior Managers and Certification Regime (the “SM&CR”). If you
Ashkan Zahedian was the director of Vast Cars Limited which had been approved by the FCA in January 2013. However, in a completely non-work-related context,
The Consumer Duty applies proportionately, based on what is reasonable in the circumstances.
The FCA’s Financial Lives 2020 survey showed that in February 2020 46% of UK adults (24.1 million people) had characteristics of vulnerability.
The Senior Managers & Certification Regime (SM&CR) as well as the Senior Manager Conduct Rules establish clear senior management responsibility for complying with the requirements
A key part of the Consumer Duty is that firms assess, test, understand and are able to evidence the outcomes their customers are receiving. Without
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