The online resource & Quarterly meetings for people development and people regulation personnel within the UK financial services industry
Attend a Meeting
01361 315 003
If you are classified as a SMF and carry the prescribed responsibility for either the Certification Regime or the Code of Conduct you may wish to ensure that the steps that have been implemented by your firm represent reasonable steps taken by you to discharge your Duty of Responsibility.
We will be happy to take a look at any of the elements of your approach to ensure that you can have the peace of mind that you have covered what the regulator is seeking
If you would like peace of mind then why not ask for a Certification or Code of Conduct Review? We will look at all the following aspects for you and grade your approach Green, Amber or Red.
Reporting & Controls
Remuneration & Reward
Recruitment & Referencing
Code of Conduct