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Financial Regulation quiz: Are you on top of personal regulatory risk?


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Summary: Are you a senior manager looking to improve your knowledge of personal regulatory risk? Start by taking this quick quiz to get an initial idea of how well you understand your personal regulatory duties.

An appetite for enforcement

Following the introduction of the Senior Managers Regime (SMR) and the Senior Insurance Managers Regime (SIMR), the regulators’ appetite for pursuing enforcement cases against senior managers is ever increasing.

Make sure you avoid unwanted attention...


If you'd like more information on fulfilling your regulatory duties and avoiding unwanted attention, this practical article sets out some useful advice >

Senior Managers Regime Training

Find out about an interactive two-hour course, created to help you and your senior manager colleagues understand your personal regulatory duties, and the steps you should be taking to fulfil them in practice.

Our team of specialist financial services regulatory lawyers has advised over 400 financial institutions and delivered over 80 training sessions in the last year alone.

If you would like some insider tips on what steps you should be taking to fulfil your personal regulatory duties and, ultimately, avoid becoming the subject of regulatory enforcement action, find out more about the face-to-face SMR training course >

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