SMCR reform: loosening red tape or individual responsibility?
UK chancellor Jeremy Hunt has announced a review of the Senior Managers and Certification (SMCR) regime as part of a wider package of...
My practice focuses on regulatory investigations and related advisory work for financial institutions. I have conducted numerous internal investigations and acted for clients in FCA and PRA investigations and enforcement proceedings covering a wide range of issues including systems and controls, benchmark manipulation, AML/financial crime, complaints handling, and market abuse.
My advisory work includes assisting clients in managing s.166 skilled persons reviews, managing communications with both UK and international regulators, and advising on compliance risk management issues, AML/financial crime and the UK Senior Managers and Certification Regime.
UK chancellor Jeremy Hunt has announced a review of the Senior Managers and Certification (SMCR) regime as part of a wider package of...
Of the many strands of diversity, gender and gender equality has been "top of the charts" within the corporate world for many years now....
Hear my colleagues Lara Adamson and Tom Rudrum discuss consume redress and the potential for a new "Consumer Principle" in our latest
The FCA, PRA and BoE have published a discussion paper on their plan to improve diversity and inclusion in regulated firms. Although the...
The FCA has published the findings of its review of "host" Authorised Fund Managers (AFMs) today, highlighting weaknesses in governance...
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