How to tame the Consumer Duty
Our work with mid-size and larger firms suggests that there are three pillars that always underpin a successful response to new...
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jon7235
- Mar 1, 2023
- 1 min
Try our free Consumer Duty readiness scorecard
Do you want a quick check on your firm’s Consumer Duty progress? Do you want to spot any gaps or weaknesses in your response? Our online...
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jon7235
- Jul 5, 2021
- 3 min
Four ways that technology is transforming business culture
I recently interviewed a cross section of industry experts for our Voices article looking at employee engagement and culture in a...
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jon7235
- Mar 2, 2021
- 2 min
Conduct rules training, how to plan for success.
I am responsible for rolling out conduct rules training across the whole of the business, this seems a huge task and I am not sure where...
280
jon7235
- Mar 2, 2021
- 2 min
Can SharePoint do SM&CR?
We are currently using SharePoint to manage nearly all the documents associated with SMCR. Is this a good approach or should we consider...
350
jon7235
- Mar 2, 2021
- 2 min
What does successful SMCR delivery look like?
I need to understand and explain to our senior management team how well our SMCR programme is delivering. How should I be measuring...
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jon7235
- Mar 2, 2021
- 2 min
Certification - how to not miss anybody out.
I am unclear about some of the Significant Harm Functions and worry that I might miss somebody who should be in scope of certification....
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jon7235
- Mar 1, 2021
- 2 min
Top ways of measuring a compliance culture.
We are really struggling to work out smart ways of measuring whether we are moving towards a culture that embraces individual...
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jon7235
- Mar 1, 2021
- 2 min
Our practical take on building an SMCR culture.
I have read a lot from the FCA about SMCR and culture change, this worries me as I’m not sure what my firm’s culture is now, let alone...
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jon7235
- Mar 1, 2021
- 2 min
Employee wellbeing and SMCR, are they compatible?
I know that quite a few of our employees have been struggling with their wellbeing during the pandemic, I am worried that SMCR will only...
100
jon7235
- Mar 1, 2021
- 2 min
Making it easy to blow the whistle
I’ve read a lot about the whistleblowing rules for big banks. Our firm has an open, safe culture where employees feel that they can speak...
160
jon7235
- Mar 1, 2021
- 2 min
New starter vs annual fit and proper tests
How much difference is there between a new starter fit and proper assessment and an annual renewal for an existing employee? Guidance...
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jon7235
- Feb 11, 2021
- 2 min
I'm accountable and I like it.
Will the increased accountability required by SMCR add pressure and stress to our employees? One of the main drivers behind SMCR is to...
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jon7235
- Feb 11, 2021
- 2 min
How to handle an updated regulatory reference
How should we handle an update to a regulatory reference for a current employee that has been received from a previous employer?...
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jon7235
- Feb 11, 2021
- 2 min
Why do people break rules?
We try to manage our conduct rules breaches tightly but still find it hard to push down the number of breaches. The foundation of SMCR is...
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jon7235
- Feb 11, 2021
- 2 min
Encouraging rule followers
What practical actions can I take to encourage a culture of accepting and following conduct rules in my firm? In our Bitesize, "Why do...
140
jon7235
- Feb 11, 2021
- 2 min
The danger lurking in a Statement of Responsibilities
I am working with senior managers to complete their statement of responsibilities forms, much of this is straightforward but we do...
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