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 each…
Read moreNED Time Commitment and Overboarding at Regulated Firms: How Much Is Too Much? Experienced non-executives are in demand, and many build portfolios of several board roles.…
Read moreThe Whistleblowers’ Champion: Who Should Hold the Role, and Why It Matters At banks, building societies and larger insurers, the regulators require a whistleblowers’ champion: a…
Read moreThe Consumer Duty Board Champion: What the Role Involves and Who Should Do It When the FCA introduced the Consumer Duty, it asked firms to appoint,…
Read moreGroup 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 it.…
Read moreAcquired 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 a…
Read moreThe First 90 Days for a New MLRO or Compliance Officer A new compliance officer or MLRO is accountable from the day they start in the…
Read moreBuy-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 a…
Read moreFractional 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 make,…
Read moreStaffing 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 is…
Read moreSMF Succession Planning: A Template for Boards Most boards have a succession plan. Far fewer have one that would work on the day a Senior Manager…
Read moreHiring Your First Senior Manager: How to Make the Case to the FCA Some of the best Senior Manager appointments go to people who have never…
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