PRA Collective Suitability: What It Means for Board Appointments at Banks and Insurers At banks, building societies and insurers, the regulators don’t just assess whether […]
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NED Time Commitment and Overboarding at Regulated Firms: How Much Is Too Much?
Meta Title: NED Time Commitment at Regulated Firms | SMF Capital Meta Description: How much time do non-executive and committee chair roles at regulated firms […]
The Whistleblowers’ Champion: Who Should Hold the Role, and Why It Matters
The Whistleblowers’ Champion: Who Should Hold the Role, and Why It Matters At banks, building societies and larger insurers, the regulators require a whistleblowers’ champion: […]
The Consumer Duty Board Champion
The Consumer Duty Board Champion: What the Role Involves and Who Should Do It When the FCA introduced the Consumer Duty, it asked firms to […]
Group SMF Roles: When a Group Executive Needs Approval
Group SMF Roles: When a Group Executive Needs Approval In a group, the people who make decisions about a regulated subsidiary aren’t always employed by […]
Acquired a Regulated Firm? Keeping the SMF Team Through Integration
Acquired a Regulated Firm? Keeping the SMF Team Through Integration When a buyer acquires an FCA-regulated firm, much of what it’s paying for sits with […]
The First 90 Days for a New MLRO or Compliance Officer
The First 90 Days for a New MLRO or Compliance Officer A new compliance officer or MLRO is accountable from the day they start in […]
Buy-Outs, Notice Periods and Clawback: Structuring an SMF Offer
Buy-Outs, Notice Periods and Clawback: Structuring an SMF Offer Senior Manager searches are rarely lost at the shortlist. They’re lost at the offer stage, when […]
Fractional or Full-Time Compliance Officer?
Fractional or Full-Time Compliance Officer? A Cost and Risk Comparison For many smaller FCA-regulated firms, the compliance oversight function is the most important hire they’ll […]
Staffing a Section 166 Remediation
Staffing a Section 166 Remediation: Who You Need and When When the FCA requires a skilled person review under section 166, the firm’s first concern […]