Our work with mid-size and larger firms suggests that there are three pillars that always underpin a successful response to new...

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...

I recently interviewed a cross section of industry experts for our Voices article looking at employee engagement and culture in a...

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...

We are currently using SharePoint to manage nearly all the documents associated with SMCR. Is this a good approach or should we consider...

I need to understand and explain to our senior management team how well our SMCR programme is delivering. How should I be measuring...

I am unclear about some of the Significant Harm Functions and worry that I might miss somebody who should be in scope of certification....

We are really struggling to work out smart ways of measuring whether we are moving towards a culture that embraces individual...

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...

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...

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...

How much difference is there between a new starter fit and proper assessment and an annual renewal for an existing employee? Guidance...

Will the increased accountability required by SMCR add pressure and stress to our employees? One of the main drivers behind SMCR is to...

How should we handle an update to a regulatory reference for a current employee that has been received from a previous employer?...

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...

What practical actions can I take to encourage a culture of accepting and following conduct rules in my firm? In our Bitesize, "Why do...

I am working with senior managers to complete their statement of responsibilities forms, much of this is straightforward but we do...