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SMCR, SIMR, GDPR, FCA, Bank of Engand, PRA.

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The FCA’s Culture & Governance Priority

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The FCA’s Culture & Governance Priority

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Senior Managers & Certification Regime: Getting Ready – What Next? for those in Scope

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Senior Managers & Certification Regime: Getting Ready – What Next? for those in Scope

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BSB Guidance on SMCR F&PC Issues 2018

This document provides Supporting Guidance to the BSB’s Statement of Good Practice 1, in particular Principle 4 (Establishing pass/fail criteria) and Principle 5 (Evidencing the F&P assessment)

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FCA Guidance on Regulatory References

Strengthening accountability in banking and insurance: regulatory references final rules

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SMCR Fitness and Proprietary: Statement of Good Practice BSB

This Statement of Good Practice is intended to help firms implement the Certification Regime effectively, by providing a high-level set of principles relating to the assessment of fitness and propriety(F&P)

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SMCR Training Feb 2019

Understand the regulatory expectations and obligations for firms and individuals under SMCR.

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FCA Senior Managers & Certification Overview Video

The Financial Conduct Authority (FCA) has today proposed a new Directory to help consumers and firms check the status and history of individuals working in financial service.

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SMCR for Enhanced Firms

When you need a practical legal solution for your next business opportunity or challenge

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SMCR for Core and Non-EEA Branches and EEA Branches

When you need a practical legal solution for your next business opportunity or challenge

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Regulation: Managing Pensions, May 2018

The purpose of the inspection is to enquire into whether or not the employer has complied with, and continues to comply, with employers duties to automatically enrol workers into a workplace pension in accordance with the Pensions Act 2008.

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Regulation: Managing Pensions, May 2018

The purpose of the inspection is to enquire into whether or not the employer has complied with, and continues to comply, with employers duties to automatically enrol workers into a workplace pension in accordance with the Pensions Act 2008.

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Regulation: GDPR: The Global Countdown, June 2018

The amount of hugely personal data involved in the background screening process means this is one area of business greatly affected by the implementation of the GDPR.

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Regulation: GDPR and HR – The Headlines, February 2018

The GDPR makes the ground of consent an uncertain legal basis for processing personal data. In particular, consent is likely to be unworkable in an employee data context.

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Regulation: SMCR: Overview – Insurers – Solvency II and Large NDFs, March 2018

This summary document is a useful and accessible alternative to trawling through the many pages of PRA and FCA consultation papers and draft rules.

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Regulation: SMCR: Overview – Insurers – Solvency II and Large NDFs, March 2018

This summary document is a useful and accessible alternative to trawling through the many pages of PRA and FCA consultation papers and draft rules.

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Regulation: SMCR: Extended Overview, March 2018

EXTENDED SENIOR MANAGERS AND CERTIFICATION REGIME OVERVIEW: CORE AND ENHANCED FIRMS

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Regulation: Fit & Proper: Assessing Supporting Guidance, February 2017

Supporting Guidance is intended to provide firms and those assessing fitness and propriety (F&P) with further information on what each element of F&P means and how it can be assessed.

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Certification for Fit & Proper – Assessing Statement of Good Practice, February 2017

This Statement of Good Practice is intended to help firms implement the Certification Regime effectively, by providing a high-level set of principles relating to the assessment of fitness and propriety (F&P).

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Regulation: SMCR: IT Checklist, 2015

Clearly defined responsibilities and accountabilities that can be readily maintained. Existing businesses process will need to be modified to reflect the requirements of SMCR. Key elements of people data will need to be managed.

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Regulation: SMCR: Training, 2015

Understand the regulatory expectations and obligations for firms and individuals under SMCR. Determine how SMCR impacts the employment life cycle in order to recommend or effect change to related policies and procedures.

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Regulation: SIMR: Employment Lifecycle, June 2015

The role of the City HR Taskforce has included identifying the issues, knowledge sharing across the market and working collaboratively to seek longer term answers in relation to SIMR.

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Regulation: SMCR: Employment Lifecycle, May 2015

The Employment Life Cycle Matrix is attached alongside the list of SMF roles and a provisional list of prescribed responsibilities required by the PRA and FCA.

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Regulation: EBA: Guidelines 2015 – PwC Email

The European Banking Authority ("EBA") has today published its final guidelines on sound remuneration policies (the "Guidelines"), which are due to come into effect from 1 January 2017. These Guidelines will replace the existing guidelines prepared by the EBA’s predecessor.

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Regulation: EBA: Guidelines 2015 – PwC Email

The European Banking Authority ("EBA") has today published its final guidelines on sound remuneration policies (the "Guidelines"), which are due to come into effect from 1 January 2017. These Guidelines will replace the existing guidelines prepared by the EBA’s predecessor.

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News: Mind the Gender Pay Gap, April 2016

The Government published on Friday 12 February its long-awaited draft Gender Pay Gap Information Regulations which they consulted on until 11 March.

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Regulation: GDPR: Data Protection/Disclosure, April 2017

It was being reported at the beginning of April that companies had abandoned plans to comply with the EU General Data Protection Regulation because of Brexit. Apparently, a significant proportion of UK companies believe that the GDPR will not apply…

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Regulation: Regulatory Timetable, January 2015

The timeline sets out the estimated dates for the revision of the Prudential Remuneration Authority (PRA) Remuneration Code, and the European Banking Authority (EBA) Remuneration Guidelines.

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Regulation: Whistleblowing: Legal and Regulatory Framework, March 2016

Firms must establish, implement & maintain appropriate and effective arrangements for disclosure of “reportable concerns” by “whistleblowers” allow for disclosure through range of methods.

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Regulation: SHPP: Statutory Shared Parental Pay Entitlement Flowchart (Birth Mother)

Statutory Shared Parental Pay (ShPP) Entitlement Flowchart (Birth mother)

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Regulation: SHPP: Shared Parental Leave Presentation, February 2015

Shared Parental Leave – the pros and cons of enhancing the statutory requirements by Marian Bloodworth and Adam Turner

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