The Senior Managers & Certification Regime was first introduced in 2016 for banks and then phased in until it was finally extended to...

One of the fundamental obligations applicable to all regulated firms is the need to implement appropriate processes to manage risks. But...

The Senior Managers & Certification Regime (SM&CR) for insurers took effect in December 2018. As part of the Solvency II regime,...

Corporate Governance isn’t just about who sits on your board and how often the board meets. It’s about the systems and controls as well...

A firm’s operational error log can provide a great deal of information about its compliance culture. Consider the following: Is it always...