Regulatory

Latest

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  • Changes to banker bonus rules

    Article

    Submitted: 18 August 2017

    A revised Remuneration Regulation took effect on 04 August 2017. It transposes key aspects of the EBA Guidelines on Sound Remuneration Policies into German law.

  • Senior managers and certification regime for banks Restricted access

    Tracker

    Last Reviewed: 04 August 2017 / Submitted: 16 December 2014

    A practical guide for HR to the new UK senior managers regime.

  • The FCA publishes Consultation Paper on extension of the Senior Managers and Certification Regime

    Article

    Submitted: 26 July 2017

    The Financial Conduct Authority (FCA) has, on 26 July 2017, published its consultation paper on the extension of SMCR to all FCA firms. We highlight the main implications of the proposed new regime.

  • BSB consultation on Certification Regime launched

    Article

    Submitted: 24 July 2017

    The Banking Standards Board (BSB) has launched a Consultation Paper seeking views on draft guidance designed to assist firms in dealing with risks and issues that may arise when assessing the fitness and propriety of staff under the Certification Regime.

  • BSB publishes Fitness and Propriety Assessment Principles

    Article

    Submitted: 24 July 2017

    In February 2017, the Banking Standards Board (BSB) published a statement of good practice on assessing Fitness and Propriety, setting out a framework of high-level principles, together with supporting guidance.

  • Towards transition: Brexit & the EU

    Webinar

    Submitted: 18 July 2017

    Access on-demand recording of our recent Brexit event - Towards transition: Brexit & the EU - Are you ready?

  • Working Relations July 2017

    Newsletter

    Submitted: 17 July 2017

    A review of legal and general developments from February to June 2017 affecting working relations in England and Wales.

  • Senior Managers and Certification Regime Extension

    Tracker

    Last Reviewed: 17 July 2017 / Submitted: 23 March 2016

    A practical guide to preparing for the proposed extension of the senior managers and certification regime to all FMSA authorised persons.

  • UK employment law - future developments

    Article

    Last Reviewed: 12 July 2017 / Submitted: 01 February 2017

    Anticipated changes to employment law in England and Wales.

  • Conduct Rules - nothing new or a complete change of mindset?

    Article

    Submitted: 06 July 2017

    In this article, we set out details of the Conduct Rules and how they differ from the principles for approved persons in APER. We also look at how the existence of enforceable Conduct Rules, the duty to report and record breaches is resulting in a slow gradual change of mindset within organisations subject to the SM&CR and SIMR.

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