SM&CR Video

The Senior Managers and Certification Regime will undergo its final extension to all solo regulated* firms in December. We are working on a guide and other materials to assist firms.

Meantime, the FCA has published a video that you might find helpful.

The video can be accessed here.

* A solo regulated firm is a firm that is regulated only by the FCA (and not also by the PRA).

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ATEB Compliance offers compliance and regulatory advice.

ATEB Suitability provides report writing software for the financial services market.

Our View

Although SM&CR for solo regulated firms does not commence until December, firms will benefit from doing some preparation in the coming months. This video might be of interest.

We are working on some materials and tools that will help firms prepare for SM&CR. Watch this space.

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About the Author

Technical Manager - Often referred to as the Oracle or the Sage, Alistair has a wealth of financial services experience. He is our go-to Technical Manager and enjoys nothing more than a complicated conundrum. Feel free to test his renowned knowledge by getting in touch.

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