The SMCR Code of Conduct is freely available on the FCA Website, biut how did it come about? What’s the history of the SMCR and…
SMCR: How To Get It Wrong SMCR: just forms and box-ticking, right? Well, actually, no. And we can see that this assumption is an almost…
Compliance Monitoring Plan Compliance monitoring helps you understand the risks in your business. Done well, it can help you pinpoint weaknesses in controls and provide…
A Regulatory Business Plan (RPB) Is Your Showcase To Demonstrate Understanding & Forethought. The FCA/PRA Regulatory Business Plan should demonstrate that the targets set by…
Senior Managers and Certification Regime (SMCR) – Implemented Dec 2019 The Senior Managers and Certification Regime (SMCR) replaced the previous UK approved Persons Regime (APR)…
FCA SMCR FCA SMCR Quick Checklist and SMCR Requirements: SMCR Conduct Rules A Quick Checklist For Businesses Have we planned, in good time, for all…
The extension of the SMCR to FCA solo-regulated firms affects over 45,000 financial companies. Do you know how the extension of the Senior Managers and…
We have extensive experience in training senior managers and other staff who are subject to the SM&CR (SMCR) and we have developed a range of…
Can You Really Afford Generic Ongoing Compliance Support? The issue with a lot of companies, whether they be IFAs, Stockbrokers, Payment Services or whatever market,…
The FCA is tightening up its individual conduct rules, replacing the current Approved Persons Regime with the Senior Managers and Certification Regime (SMCR). SMCR regulation…