Final Stage Troubleshooting for SM&CR
With just over two weeks to go until commencement, solo-regulated firms should be finalising their preparations for the start of the...
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Robert Bell
- Nov 12, 2019
Final preparations for the Senior Managers and Certification Regime
Aiming to strengthen accountability and responsibility in financial services, the Senior Managers and Certification Regime will complete...
Robert Bell
- Oct 31, 2019
What Senior Managers Need to Be Doing Now for the SM&CR
As solo-regulated firms are preparing to leave behind the Approved Persons Regime and implement the Senior Managers and Certification...
Victoria Bell
- Sep 25, 2019
What are the FCA Conduct Rules?
The FCA's Conduct Rules form a fundamental part of the Senior Managers and Certification Regime, which will apply to almost all FCA...
Robert Bell
- Sep 19, 2019
Winter is Coming – and so are the Conduct Rules
This winter sees the introduction of the conduct rules for solo-regulated firms, insurance firms and banking are already complying with...
Robert Bell
- Aug 13, 2019
The Requirements of the Senior Managers & Certification Regime - A Reminder
The Financial Conduct Authority have recently published a stocktake report of the Senior Managers & Certification Regime in the banking...
Robert Bell
- Jul 11, 2019
SM&CR Conduct Rules Training Requirements
For solo-regulated firms the commencement of SM&CR is fast approaching, and 9th December will be here before we know it. Most firms will...
Robert Bell
- May 29, 2019
4 Main Drivers of a Healthy Culture in Financial Services Firms
Last month, the Financial Conduct Authority published its 2019/20 business plan, setting out the regulator’s priorities for meeting its...
Robert Bell
- May 1, 2019
Senior Managers & Certification Regime: Conduct Rules Implementation
With summer just around the corner, December may feel like a long way off. But there are only seven months to go until the Senior...
Victoria Bell
- Feb 19, 2019
How Non-Executive Directors Will Be Affected By The SM&CR
This week we’re going to take a look at how Non-Executive Directors will be affected by the implementation of the Senior Managers and...
Robert Bell
- Feb 14, 2019
SM&CR – What should you be doing now to ensure compliance?
As you will have seen from the previous articles in our series, the Senior Managers & Certification Regime (SM&CR) comes into force in...
Robert Bell
- Feb 5, 2019
Reporting Requirements under the Senior Managers & Certification Regime SM&CR
With the commencement of the Senior Managers and Certification Regime (SM&CR) slowly creeping closer we will be helping you to gradually...
Robert Bell
- Jan 15, 2019
The Senior Managers & Certification Regime (SM&CR) – Plan your 2019
This is the year that the Senior Managers & Certification Regime (SM&CR) comes into force for solo-regulated firms (i.e. firms regulated...
Robert Bell
- Jan 2, 2019
Senior Managers & Certification Regime for insurance firms – What now?
As of the 10th December, insurance firms are now subject to the Senior Managers and Certification Regime. So as an insurance firm what...
Robert Bell
- Dec 4, 2018
What Conduct Rules training is required under SM&CR?
With next week marking one year until the roll-out of the Senior Managers and Certification Regime to solo-regulated firms, all affected...
Robert Bell
- Nov 20, 2018
FCA's Recent Discussion Paper on a Potential 'Duty of Care'
In July of this year, the Financial Conduct Authority (FCA) published a Discussion Paper on a potential ‘Duty of Care’, which some of the...
Victoria Bell
- Nov 7, 2018
Solo-Regulated Firms and The Senior Managers & Certification Regime
The Senior Managers & Certification Regime (SM&CR) is due for implementation in solo-regulated firms on 9 December 2019. With 2019 just...
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