On 1 April 2020, Norton Rose Fulbright hosted a virtual roundtable as part of the 40 Minute Briefing series. The session focussed on the individual accountability agenda, whilst also factoring in recent developments as to the COVID 19 outbreak, and how accountability frameworks would be viewed in light of the revised working patterns that firms … Continue Reading
We live in an era in which regulators and the court of public opinion are often unforgiving of any perceived or actual failings. The implementation of the Senior Managers and Certification Regime (SMCR) for FCA firms has brought this home but it is part of a much bigger picture. We have seen an increasing focus … Continue Reading
Our extended 40 minute briefing on 1 April 2020 will be a practical workshop focussing on the accountability agenda and will involve members of our financial services consultancy and legal teams which cover both non-contentious and contentious scenarios from a regulatory and employment law perspective. Particular focus areas will be: SMCR post implementation agenda – … Continue Reading
Our extended 40 minute briefing on 1 April 2020 will be a practical workshop focussing on the accountability agenda and will involve members of our financial services consultancy and legal teams which cover both non-contentious and contentious scenarios from a regulatory and employment law perspective. Particular focus areas will be: SMCR post implementation agenda – … Continue Reading
In our extended briefing this Wednesday, we are joined by David Blunt (Head of Conduct Specialists Department, FCA) who will discuss the purpose of the SM&CR and the importance of preparing for the new regime, ensuing that it is embedded into firms’ DNA as a business as usual process. Breakout sessions will follow involving colleagues … Continue Reading
