Don Scott

Don Scott: Six senior managers regime myths busted  

Effort is required but compliance will not be too big a jump if the right processes are in place. With most regulation, a certain amount of interpretation of the rules is required, particularly in the absence of prescriptive guidance. This means firms can often go overboard, or not far enough. Nowhere is this more apparent […]

What advisers can learn from new banking regulation

A look at the important take-aways from the senior manager regime’s previous implementation for those beginning their own preparations The forthcoming extension of the Senior Managers & Certification Regime represents the next major regulatory change that gets to the heart of a firm’s culture, governance and operational considerations. SM&CR implementation will not be a one-time […]