Successfully Navigate the Senior Managers and Certification Regime
The scope of the Senior Managers and Certification Regime is huge and the impact on the financial services industry can’t be under estimated. You just have to speak to the firms already under SMCR. Find out how we can support you with your SMCR projects, no matter what stage you are currently at.
What does SM&CR mean for Appointed Representatives?
How could SM&CR impact the role of Appointed Representatives moving forward?
Advice Matters – From the archive
Would you benefit from knowing you have monthly structured CPD being delivered direct to your desk? That is what our Advice Matters Publication does for our Adviser clients. Providing them peace of mind with 12 hours of structured CPD over the year.
Clarity over financial promotions
Wednesday the 9th January 2019 saw the FCA release a letter on their website to all CEOs of regulated firms reminding them of their responsibilities around the use of financial promotions.
Complete SM&CR Toolkit for 2019
SM&CR is coming in to play across the industry by December 2019. We know that firms will all be at various stages of their project plan which is why our toolkit let you select the elements you require support with.
And the winner is…
FSTP named ‘Most Effective Training Firm’ at the 15th annual Compliance Register Platinum Awards.
Schedule Open Course Preview For Winter 2018/19
As we approach the festive holiday season we take a look at a pick of our courses taking place prior to the holiday season and a number of the courses that are proving popular for the New Year.
Advice Matters – from the archive
Benefit from monthly structured CPD delivered direct to your desk. Advice Matters provides exactly that for the duration of the 12 month subscription.
FSTP Nominated For Most Effective Training Firm 2018
We need your help! Proceed for details of how you can vote.
Advice Matters – from the archive
Benefit from monthly structured CPD delivered direct to your desk. Advice Matters provides exactly that for the duration of the 12 month subscription.
FSTP joins the Association of Professional Compliance Consultants
FSTP are Members of the Association of Professional Compliance Consultants.
Advice Matters – Accredited Structured CPD
Would you benefit from knowing you have monthly structured CPD being delivered direct to your desk? That is what our Advice Matters Publication does for our Adviser clients. Providing them peace of mind with 12 hours of structured CPD over the year for just £35.
An insight into T&C for Investment Management & Wealth Management firms
Access our results of a recent T&C survey for Investment & Wealth Management firms.
Open Course Highlights – Autumn 2018
Polish up your skills with some of our Autumn Open Course highlights!
Success for FSTP Chartered Wealth Manager Students
A successful results day for our CISI Chartered Wealth Manager students.
Senior Managers & Certification Regime for Insurers – 5 months and counting…
With the announcement that the SMCR implementation date for insurers is the 10th December. We are on a 5 month countdown and to help get you off to a great start access our condensed summary of the FCA Policy Statement 18/15.
Extending the SM&CR to FCA firms – The FCA have released the near-final rules.
The FCA have provided the near-final rules for extending the SM&CR to FCA firms. We have broken this 412 page document down into a handy condensed document, providing all the key points.
What do the latest FCA’s consultation papers, CP18/12 & CP18/13, have in store for the high-cost credit sector?
Take a look at our overview of CP18/12 and CP18/13.
Review of the FCA business plan 2018/19
Our Senior Partner reviews the key points of the FCA business plan affecting the industry as a whole and focuses on some sector specific issues.
GDPR – Questions for Marketeers
Are you a Marketing professional working within a financial services firm? Make sure you and your firm are able to answer these key questions around GDPR to ensure that you are on track to compliance.
T&C Health Check Audit – 20 key questions to kick start the process
Take a look at 20 key questions to get your T&C audit up and running and ensuring that it stays on track.
Suitability – Aide Memoire
Use our aide memoire to ensure the suitability of advice you provide to your clients matches the requirements of the regulator.
The Insurance Distribution Directive – An April 2018 Update
With the delayed implementation date of IDD approaching on the 1st October 2018. It is important to take a look at what is expected. Keeping in mind the industry should now already be well prepared for the 1st October.
Initiating Cultural Change
Follow our 10 steps to initiating an effective cultural change that will be sustainable.
Unintended Consequences
Our Senior Partner Julia Kirkland takes a look at some of the impacts of BREXIT on the asset management sector.
Scheduled Open Courses Preview for Spring 2018
Take a look at a selection of our upcoming public open courses and access our full schedule.
Advice Matters – from the archive
Would you benefit from knowing you have monthly structured CPD being delivered direct to your desk? That is what our Advice Matters Publication does for our Adviser clients. Providing them peace of mind with 12 hours of structured CPD over the year for just £35.
The Chartered Wealth Manager Qualification – FAQ’s
If you’re looking to take the CISI Chartered Wealth Manager exam here’s all you need to know to get started.
Success for FSTP Chartered Wealth Manager Candidates.
Another successful results day for our candidates across the CISI Chartered Wealth Manager exams.
With the IDD application date now postponed, prepare your firm with expert knowledge.
Keep up to date with the latest information around the Insurance Distribution Directive (IDD).
Regulatory Insights: MiFID II
A look into what we should all be focusing on one month after MIFID II implementation.
SMCR for busy people in Insurance
A condensed paper covering the extension of the Senior Managers & Certification Regime to all FCA regulated firms (CP 17/26) and including the transitional arrangements for insurers and individuals to the SMCR (CP 17/41).
FSTP’s accreditation as a Premier Training Partner of the CISI is renewed for 2018.
Book CISI accredited study support here at FSTP and find out why our training is a cut above the rest
SMCR for busy people
A condensed paper covering the extension of the Senior Managers & Certification Regime to all FCA regulated firms (CP 17/25) and including the transitional arrangements, CP 17/40.
HM Treasury announces the incoming Chair of the Financial Conduct Authority
HM Treasury have announced who will be taking over as the new Chair of the FCA in April 2018.
FCA opens consultations on its approach to Authorisation and Competition
Have your say on the FCA’s approach to both Authorisation and Competition.
Open and In-house Courses Preview for 2018
Take an early look at some of our forthcoming open courses. Booking are already being taken for our 2018 courses, so take a look at what is available and get in touch with the team if you have any questions or require something more tailored to your current requirements.
Looking ahead to next year’s first big date for financial services professionals: January 3, 2018
Is your T&C scheme ready to cover the wave of incoming regulation for 2018?
Knowledge & Competence (K&C) the thorny subject
As the MiFID II deadline draws closer the thorny and sensitive topic of K&C is bubbling up as a major concern for our clients.
Another successful results day for FSTP Chartered Wealth Manager candidates.
Today saw the release of the CISI June narrative exam results. These included all three of the level 7 Chartered Wealth Manager papers. Our candidates have again exceeded the national average.
Chartered Wealth Manager – The importance of choosing the right training provider.
What should candidates look out for and what should they expect from a study provider?
Advice Matters – from the Archive
Advice Matters is an accredited monthly e-journal. Each edition contains a number of articles written by industry experts, that combine knowledge and skills related topics, with technical and regulatory updates.
FSTP summary document of the FCA CP 17/26 & PRA CP14/17
You can access FSTP’s summary of the FCA CP17/26 and PRA CP14/17 here.
FSTP summary document of Consultation Paper 17/25
You can access our summary document of CP17/25 here.
The FCA have released CP17/25: Extending the Senior Managers and Certification Regime
The FCA have released the consultation paper on their proposals for extending the Senior Managers and Certification Regime. They will be accepting feedback until 3 November 2017.
FSTP’s condensed version of the consultation paper will follow shortly.
FSTP’s condensed version of the consultation paper will follow shortly.