

RESOURCES
Events, opinions and information
Tackling Toxic Culture: Bullying & Harassment
The FCA is taking charge of non-financial misconduct by extending bullying & harassment prohibition to non-banking firms. This extension should be helpful for the industry, removing previous uncertainty about how to deal with employee disciplinaries and grievances from a regulatory perspective.
Simplifying SM&CR to boost growth
To support firms's ability to hire talent, aspects of SM&CR are set to be removed and refined. It will be a welcome development by the industry, while the FCA aims to still preserve the core benefits of the regime.
Senior Manager presence in the UK
The FCA has highlighted how important that senior managers have sufficient UK presence to deliver on their reponsibilities.
Good governance in the hybrid workplace
Adempi's guide on Governance for the Hybrid Workplace is the second of our three free guides for FCA-regulated firms returning to the office
Have you submitted your Directory Persons?
The FCA has released a statement to highlight that 2,800 failed to submit Directory Persons' information by the deadline of 31 March and tha
Extended period to implement SM&CR
It is now expected that firms will have a deadline of 31 March 2021 by which to have undertaken all certifications for the first time.
The scope of the client-dealing function under SM&CR
the scope of the client-dealing function goes wider than the CF30 function used to. If you looked at the initial definition, you would have







