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This document provides Supporting Guidance to the BSB’s Statement of Good Practice 1, in particular Principle 4 (Establishing pass/fail criteria) and Principle 5 (Evidencing the F&P assessment)
Download PDFStrengthening accountability in banking and insurance: regulatory references final rules
Download PDFThis Statement of Good Practice is intended to help firms implement the Certification Regime effectively, by providing a high-level set of principles relating to the assessment of fitness and propriety(F&P)
Download PDFUnderstand the regulatory expectations and obligations for firms and individuals under SMCR.
Download PDFThe Financial Conduct Authority (FCA) has today proposed a new Directory to help consumers and firms check the status and history of individuals working in financial service.
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Download PDFThe purpose of the inspection is to enquire into whether or not the employer has complied with, and continues to comply, with employers duties to automatically enrol workers into a workplace pension in accordance with the Pensions Act 2008.
Download PDFThe amount of hugely personal data involved in the background screening process means this is one area of business greatly affected by the implementation of the GDPR.
Download PDFThe GDPR makes the ground of consent an uncertain legal basis for processing personal data. In particular, consent is likely to be unworkable in an employee data context.
Download PDFThis summary document is a useful and accessible alternative to trawling through the many pages of PRA and FCA consultation papers and draft rules.
Download PDFEXTENDED SENIOR MANAGERS AND CERTIFICATION REGIME OVERVIEW: CORE AND ENHANCED FIRMS
Download PDFSupporting Guidance is intended to provide firms and those assessing fitness and propriety (F&P) with further information on what each element of F&P means and how it can be assessed.
Download PDFThis Statement of Good Practice is intended to help firms implement the Certification Regime effectively, by providing a high-level set of principles relating to the assessment of fitness and propriety (F&P).
Download PDFClearly defined responsibilities and accountabilities that can be readily maintained. Existing businesses process will need to be modified to reflect the requirements of SMCR. Key elements of people data will need to be managed.
Download PDFUnderstand the regulatory expectations and obligations for firms and individuals under SMCR. Determine how SMCR impacts the employment life cycle in order to recommend or effect change to related policies and procedures.
Download PDFThe Employment Life Cycle Matrix is attached alongside the list of SMF roles and a provisional list of prescribed responsibilities required by the PRA and FCA.
Download PDFThe European Banking Authority ("EBA") has today published its final guidelines on sound remuneration policies (the "Guidelines"), which are due to come into effect from 1 January 2017. These Guidelines will replace the existing guidelines prepared by the EBA’s predecessor.
Download PDFThe Government published on Friday 12 February its long-awaited draft Gender Pay Gap Information Regulations which they consulted on until 11 March.
Download PDFIt was being reported at the beginning of April that companies had abandoned plans to comply with the EU General Data Protection Regulation because of Brexit. Apparently, a significant proportion of UK companies believe that the GDPR will not apply…
Download PDFThe timeline sets out the estimated dates for the revision of the Prudential Remuneration Authority (PRA) Remuneration Code, and the European Banking Authority (EBA) Remuneration Guidelines.
Download PDFFirms must establish, implement & maintain appropriate and effective arrangements for disclosure of “reportable concerns” by “whistleblowers” allow for disclosure through range of methods.
Download PDFStatutory Shared Parental Pay (ShPP) Entitlement Flowchart (Birth mother)
Download PDFShared Parental Leave – the pros and cons of enhancing the statutory requirements by Marian Bloodworth and Adam Turner
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