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At a time when expectations of boards and senior management have never been higher; and with a Regulator committed to bringing more senior level individuals to account, Significant Influence Function (SIF) holders are increasingly concerned to understand the nature and extent of their regulatory responsibilities. However, this is not as simple as merely digesting the relevant high-level principles (and associated evidential provisions) contained within the rulebook – which will often bear little discernible resemblance to operational reality; and to those situations routinely encountered by SIF holders in practice.
This handbook aims to bridge this perceived ‘rule to reality’ gap; and answer, from a decidedly practical perspective, some of the key questions pre-occupying SIF holders (and prospective SIF holders) in today’s increasingly challenging regulatory environment: