“Home working is likely to increase the risk of conduct related issues"

Posted by Peter Griffiths on August 10, 2020

On Wednesday 17th June, 2020, Julie Pardy, Director of Regulation & Market Engagement (Worksmart) joined Employment Partners Marian Bloodworth and David Williams  from Kemp Little LLP for an in-depth look at the current HR implications for firms around Covid-19 and the on-going requirements of the SM&CR regime.

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Topics: SM&CR

Worksmart scoop four major awards

Posted by Peter Griffiths on August 4, 2020

The team at Worksmart are delighted to announce that we have won in four categories at the 2020 ACQ5 Global Awards.

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Topics: SM&CR, complaints, regulation

SM&CR, The Investment Association and the FCA

Posted by Julie Pardy on July 3, 2020

On a very hot and sunny Tuesday in June, I was delighted to be invited to talk to Investment Association members on the topic of SM&CR.  Joining a line-up that included David Blunt, Head of Conduct Specialists at the FCA, Angela Hayes from TLT, Natasha Cork from HSBC Asset Management and Sarah Thwaites, Senior Policy Adviser at The IA.  The afternoon was given over to discussing regulatory expectations around SM&CR and practical experience of the dual regulated regime in Banking.

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Topics: SM&CR, regulation, FCA

Implementing Certification in solo-regulated firms - the challenges and priorities

Posted by Julie Pardy on June 29, 2020

On Thursday 4th June, 2020, Julie Pardy, Director of Regulation & Market Engagement (Worksmart) joined the London Institute of Banking and Finance (LIBF) to discuss the implementation of SM&CR for solo regulated firms, particularly the challenges and priorities for those teams responsible for implementation.

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Topics: SM&CR

SM&CR professionals pivot for COVID-19, but how confident are they now?

Posted by Carla Monson on June 23, 2020

On Thursday 28th May 2020, Philip Allen (Innovate Learn), Adrian Harvey (CEO, Elephants don’t forget) and Julie Pardy (Worksmart) hosted an interactive webinar; Covid-19 proves to be the SM&CRlitmus test. Over 100 delegates joined us and listened intently to the discussions which centred around six key SM&CR related issues that are currently affecting regulated firms:

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Topics: SM&CR

Polling results reveal pressure at our SM&CR Virtual Breakfast

Posted by Carla Monson on June 4, 2020

On Tuesday 19th May, 2020, Marian Bloodworth (HR Lawyer, Kemp Little) and Julie Pardy, Emma Howell and Nic Dent (Worksmart) hosted a SM&CR virtual breakfast. The webinar was eagerly attended by 50 delegates where we discussed the current challenges for firms, whilst sharing our own experiences from multiple SM&CR implementation.

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Topics: SM&CR

Smaller Firms – In the shadows or under the spotlight?

Posted by Julie Pardy on May 26, 2020

I’ve heard it said before…  “The FCA have got bigger fish to fry, they aren’t going to be looking into how our business operates.  There are only 400 of us and we are not a fixed portfolio firm with a named supervisor. We think they have probably forgotten who we are since they authorised us…..”

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Topics: SM&CR

FCA – A transformation in the offing or just cosmetic change?

Posted by Julie Pardy on May 6, 2020

The FCA has recently published its business plan for 2020/21, setting out its strategic focus for the next three years.

As you might expect in the current climate, it’s shorter than usual, with a focus on potential market disruption caused by COVID-19, but still manages to convey key areas of concern.

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Topics: SM&CR

COVID-19, SM&CR and Regulatory flexibility!

Posted by Julie Pardy on May 5, 2020

Pandemic, Senior Manager Accountabilities and flexibility are not really a selection of words that anyone would have envisioned being joined together only a few months ago...

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Topics: SM&CR

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

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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