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Carla Monson

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The 5 reasons your senior manager will give you for doing nothing and how to overcome them

Posted by Carla Monson on December 10, 2019

For solo-regulated firms, the SM&CR implementation date has arrived.  We’re proud to have successfully prepared some of the UK’s best known financial brands for this impending regime.  What we have also discovered is that surprisingly, many firms are still not ready and there’s a surprising reason as to why. 

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Topics: SM&CR

Interesting survey results on the industry’s readiness for SM&CR...

Posted by Carla Monson on October 3, 2019

We ran our first ever webinar on 30th September and this is what we learnt.

The webinar, ‘SM&CR the final countdown – 50 working days to go’, was co-hosted with TISA and focused on the major outstanding actions that firms should be focusing on ahead of ‘Day One’ on December 9th

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Topics: SM&CR

Five key questions you need to answer for yourself in readiness for the SM&CR regulation:

  • Do you understand the full implications of the new regime?
  • Have you considered the impact of the regime on your business and your staff?
  • Do you understand the impacts of embedding the regime into business as usual?
  • Does your organisation appreciate the value of future proofing your systems and processes?
  • Are  you confident in your existing systems and processes to deliver SM&CR compliance?

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