Category Archive

Below you'll find a list of all posts that have been categorized as “compliance”

Is SMR & CR, the UK Financial Services biggest challenge for 2018?

Guest Author: Michael Rasmussen

GRC Economist & Pundit 

GRC 20/20 Research, LLC

The UK Senior Manager's Regime and Certification Regime (UK SMR/CR) is one of the most significant challenges financial services firms are facing right now. The ...

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As the Regulators move to Individual Responsibility for Internal Governance - What's at Stake?

 

Join Governor Software, CastleHill and guest speaker Dessa Glasser, Principal at the Financial Risk Group and Independent Board Member at Oppenheimer Holdings Inc for canape’s, cocktails and conversation from 6pm, 12 September, 5th Avenue, New...

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Extension of Senior Managers Certification Regime Conference, September 18th, London

 

 

 

The FCA and PRA want to conform their approach to governance and accountability in financial services by extending the Senior Managers Regime (SMR) and Certification Regime (CR) to all FCA regulated firms. The regulators are also seeking to...

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