The Senior Manager and Certification Regime (SM&CR) applies to almost every UK solo-regulated firm, from very small firms (including sole traders and limited permission consumer credit firms) to some of the largest global firms.
The FCA has released what it calls an ‘explainer video’ to aid firms with implementation of the Certification Regime and the Conduct Rules ahead of the deadline on 31 March 2021.
You can view the short video here.
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The FCA has published the transcript of a speech delivered by Debbie Gupta of the FCA which we recommend all advisory firms read.
SM&CR is well on the way. Hear the latest podcasts.
SM&CR – Conduct Rules reminder
Alistair MacDougall Compliance 2019, 2020, FCA, SM&CR
Firms need to undertake Conduct Rules training before 9 December 2019 for Senior Managers and Certification Staff.