Assuming you have done all you need for the Senior Managers Regime on 9th December 2019. You have identified those impacted, and they are all…
Checklists for solo-regulated firms implementing SM&CR First published: 05/06/2019 Last updated: 11/09/2019 These checklists bring together information from the SM&CR Guide for solo-regulated firms (PDF) about what you need…
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…
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…
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…
The Senior Managers Regime (SMR) or Senior Managers & Certification Regime (SMCR) is the most far-reaching attempt to improve industry culture and to overcome the problems…