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Approved Persons and Senior Management Regime Publications

Approved Persons and Senior Management Regime Publications

“FCA enforcement in 2020 – an unhealthy sprinkling of normality”, Compliance Monitor, 09 February 2021

“Why the SMCR won’t work”, Compliance Monitor, 8 November 2019

“Tinney in the tribunal -troubling issues”, Compliance Monitor, 7 October 2019

“Upper Tribunal tackles directors’ duties”, Compliance Monitor, 5 October 2018

“The APER Principles, the February 1st cases about the companies and people whose lives were wrecked by

Shay Reches”, Compliance Resource Network, 11 March 2016

“Julien Grout fails to stop termination of FCA’s Whale investigation into him”, Complinet, 12 March 2015

“The Upper Tribunal and High Court tackles conflicts of interest, integrity and dishonesty issues at Arch

Financial Products LLP”, Compliance Resource Network, 23 January 2015

“Angela Burns, the conflicted non-executive director”, Complinet, 18 December 2014

“The Upper Tribunal taking a different tack to the FSA on fitness and propriety”, Compliance Resource Network, 16 January 2012

“The masks have fallen” (RBS report), Financial Adviser 6 January 2011

“Tribunal and fit and proper Panesar give FSA bloody nose on shadow directorships and Long Form A”, Complinet, 1 November 2010

“CP08/25: the extension of the approved persons regime before FSA has managed to make the existing one work”, Complinet, 6 January 2009

“The Tribunal Fryett case and ‘involved’ or ‘knowingly concerned’“, Complinet, 26 November 2008

“Recent final notices and personal responsibility”, Complinet, 10 November 2008

“Approved persons and the BPS prohibition orders”, Complinet, 8 September 2008

“PMSG and the removal of compliance officers for incompetence”, Complinet, 25 July 2008

“Four final notices, prohibition orders and complaints problems”, Complinet, 23 July 2008

“FSA receives a minor bloody nose from the FSMT on fit and proper”, Complinet, 9 May 2008

“McIntosh – another unfit and improper decision with a nasty tribunal sting for FSA”, Complinet, 31 January 2008

“The tribunal upholds one FSA decision, reverses another on “fit and proper”, Complinet, 3 January 2008

“FSA’s latest batch of prohibition orders for obvious sinners”, Complinet, 20 December 2007

“The Piggott case – the tribunal brings you high jinks and impropriety”, Complinet, 24 January 2007

“Byrne banned for fake reinsurance transactions”, Complinet, 21 July 2006

“The Manchanda case – FSA loses another tribunal to Mackie and ‘the facts’”, Complinet, 12 July 2006

“The Sodha case, complaints and fitness and propriety”, Complinet, 16 June 2006

“FSA was right to refuse Eversure’s authorisation application”, Complinet, 30 May 2006

“Elliott v the FSA- a case of unfit and definitely improper”, Complinet, 5 April 2006

“The Financial Services and Markets Tribunal – telling it like it is”, Complinet, 20 February 2006

“Goshawk fined for not supervising its binding authorities… and much worse”, Compliance Online, 17 October 2005

“The FSA bans IFA for lying on pension review returns”, Compliance Online, 29 December 2004

“Blind-siding the regulator over underwriting limits generates a £20,000 fine for the Chief Executive”, 29 November 2004

“The Tribunal ruling in the Thomas case: of splits, deadlines and approved persons applications”, Compliance Online, 3 October 2004

Get in touch

Contact Adam by e-mail, phone or post at:

E-Mail: adamsamuel@aol.com or adamsamueltc@yahoo.com

Mobile: 07900 248150

The Attic, 117 Priory Road, London NW6 3NN.