01.11.2019

Senior Managers & Certification Regime

Senior Managers & Certification Regime

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Are you ready for the Senior Managers & Certification Regime?  Do you understand how it affects you?

If you’d like to hear more get in contact with me.  I'm helping firms prepare for the new regime and train its staff to understand how it affects them.
FCA: Senior Managers & Certification Regime to replace Approved Persons Regime

  • Conduct Risk
  • FCA Regulation;
  • Senior Managers Regime
  • Training

A seasoned professional with 20+ years’ experience in the financial services industry,  I am  a former Chief Compliance Officer  and MLRO (CF10 and CF11) for a pension, wealth and asset management…

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Another Money Laundering Directive?  Why?

The EU’s Fifth Anti-Money Laundering Directive (5MLD) was published in June 2018 and entered into force a month later. …

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