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  • FAQs for Senior Managers: how to evidence reasonable steps Beperkte toegang

    Webinar

    Ingediend: 26 July 2019

    Download the slides and watch our recent webinar on demand. The final call in our SMCR implementation series focuses on FAQs for Senior Managers including how to evidence reasonable steps.

  • Culture and Conduct Rules Beperkte toegang

    Webinar

    Ingediend: 19 July 2019

    Download the slides and watch our recent webinar on demand. The fifth call in our SMCR implementation series focuses on understanding the conduct rules and the current regulatory focus on culture and conduct.

  • Certification Regime Beperkte toegang

    Webinar

    Ingediend: 12 July 2019

    Download the slides and watch our recent webinar on demand. The fourth call in our SMCR implementation series focuses on certification regime - how to allocate the client dealing function, managers of certified people, material risk takers and algorithmic traders.

  • MAS clarifies regulatory expectations on IAC Guidelines

    Artikel

    Ingediend: 01 July 2019

    In our previous bulletin, we analysed the implications of Monetary Authority of Singapore’s (MAS) proposal to expand the scope of the Guidelines on Individual Accountability and Conduct (Guidelines) (CP2). In this sequel bulletin, we recapitulate some of the key points from MAS’ feedback to the first consultation issued recently on 06 June 2019, and chart the timeline and course ahead.

  • Difficult issues for smaller asset managers Beperkte toegang

    Webinar

    Ingediend: 28 June 2019

    Download the slides and watch our recent webinar on demand. The third of seven calls in our SMCR implementation series focuses on difficult issues for smaller asset managers, including interpretation and application of the partnership rules, core firm proportionality for smaller asset managers, and issues for our US asset manager population.

  • SMCR implementation: The Final Countdown, are you ready? Beperkte toegang

    Webinar

    Ingediend: 17 June 2019

    This series of practical webinars is designed to help you find solutions to some of the most commonly asked questions regarding SMCR implementation.

  • MAS proposes increased scope for Individual Accountability and Conduct Guidelines

    Artikel

    Ingediend: 10 June 2019

    On 06 June 2019, the Monetary Authority of Singapore released a consultation paper expanding the scope of the Guidelines on Individual Accountability and Conduct for Financial Institutions. This article recapitulates the key outcomes set out in the IAC Guidelines, and summarises how the proposed extension of the IAC Guidelines’ scope will affect the newly-included entities, such as fund management companies, trustees and payment services licensees.

  • FCA releases three more SMCR Consultation Papers

    Artikel

    Ingediend: 13 December 2017

    Following its consultations on the extension of the Senior Managers and Certification Regime (SMCR) to insurers and solo regulated firms in November, the Financial Conduct Authority (FCA) has published three more consultation papers on the transitioning to the SMCR and the duty of responsibility on 13 December 2017.

  • Extension of SMCR: Duty of responsibility in practice Beperkte toegang

    Webinar

    Ingediend: 13 December 2017

    Watch our recent webinar on demand. Gain a practical overview of the duty of responsibility under SMCR, including by reference to existing guidance from the FCA as well as guidance on the senior managers Conduct Rules.

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