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...
Victoria Bell
- Jul 23, 2019
Allocating Prescribed Responsibilities Under SM&CR
Under the incoming Senior Managers and Certification Regime, Core and Enhanced firms will have to allocate Prescribed Responsibilities to...
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
- Apr 16, 2019
Statement of Responsibilities & Prescribed Responsibilities Under SMCR
This week we’re going to take a look at the content of Statements of Responsibilities (SoRs), – the document outlining the...
Robert Bell
- Apr 2, 2019
Regulatory Horizon for 2019
In this article, we’ll take a look ahead at the upcoming regulatory changes over the next nine months of 2019. In the last two years,...
Robert Bell
- Mar 19, 2019
What is required in a Statement of Responsibility under SM&CR?
The new Senior Managers and Certification Regime is designed to encourage accountability within firms, aiming to prevent misconduct by...
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 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...
Victoria Bell
- Nov 27, 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 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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