Compliance Insights Articles

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 14, 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

Feb 5, 2019

Fit and Proper Requirement of SM&CR - What does this mean?

Solo-regulated firms that will be within the scope of the Senior Managers and Certification Regime from the end of this year should...

Victoria Bell

Jan 30, 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 15, 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

Jan 2, 2019

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

Dec 4, 2018

What are Prescribed Responsibilities under the Senior Managers & Certification Regime (SM&CR

The Senior Managers and Certification Regime is due to commence on 9 December 2019 for solo-regulated firms, and on 10 December 2018 for...

Victoria Bell

Nov 27, 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...

Robert Bell

Nov 20, 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...

Victoria Bell

Nov 7, 2018

Insurance Firms and The Duty of Responsibility Under SM&CR

With the commencement date looming, insurance firms should be well within the final stretch of their preparation for the new Senior...

Victoria Bell

Oct 25, 2018

How Claims Management Companies Need to Apply for FCA Authorisation & Implications of SM&CR

The regulation of Claims Management Companies (CMCs) within England, Scotland and Wales is due to change in 2019, with the Financial...

Robert Bell

Oct 9, 2018

What Insurance Firms Need to Know About the Incoming SM&CR

Insurance firms are gearing up for the implementation of the Senior Managers and Certification Regime on 10 December this year. The SM&CR...

Robert Bell

Sep 26, 2018

Preparing for the Senior Managers and Certification Regime

The FCA have now published the ‘near-final’ draft rules for the Senior Managers and Certification Regime (SM&CR), which currently only...

Victoria Bell

Aug 1, 2018

Regulatory Horizon for 2018

2018 promises to be a bumper year for compliance. I can hear what you are thinking, you’ll be muttering, “Isn’t it always?” Seriously,...

Robert Bell

Jan 18, 2018

Transitioning FCA firms and individuals to the Senior Managers & Certification Regime: Important

The Financial Conduct Authority (FCA) have published a package of proposals outlining their proposed transitional arrangements for...

Victoria Bell

Dec 19, 2017

What you need to know: the new fit & proper requirements in SM&CR

The FCA’s proposed extension to the Senior Managers and Certification Regime aims to bring all FCA regulated firms under a single regime,...

Victoria Bell

Nov 14, 2017

What's on the Regulatory Horizon?

Your horizon scanning has never been as important as it is right now, a time when we have significant and numerous regulatory changes...

Robert Bell

Nov 7, 2017

After you've gained FCA Authorisation - What to consider next?

Gaining FCA authorisation is a vital step for consumer credit firms. However, once you have completed the journey to authorisation, it’s...

Victoria Bell

Oct 3, 2017

10 Steps to FCA Authorisation

The prospect of preparing and submitting an FCA application and the numerous challenges this poses can be overwhelming and things can...

Matthew Mason

Sep 28, 2017

Compliance Briefing: June - July 2017

To download this briefing in it's entirety, please click here. Regulatory Sanctions ICO fines Satsuma Loans for spam texts Credit company...

Matthew Mason

Aug 3, 2017

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