The Final Countdown to Senior Managers and Certificate Regime (SM&CR)
March is almost here and Spring is in the air. So probably the last thing you are thinking about is
SM&CR
FCA publications on Consumer Investments
The FCA has been busy. Monday saw the publication of three FCA publications on Consumer Investments. A Consumer Investments
FCA – Update on SMR and CF (AR) applications
When the Senior Managers and Certification Regime (SM&CR) became effective for solo regulated firms on 9 December 2019, the FCA
FCA – Certification Regime considerations for all firms – Annual Certification
Firms must assess their Senior Managers and Certification Staff are fit and proper (F&P) to perform their roles annually. The
SM&CR and coronavirus: FCA expectations for solo-regulated firms – December 2020 update
In April 2020, the FCA set out their expectations to help solo-regulated firms apply the SM&CR following the exceptional circumstances arising
FCA reminder of SMCR Implementation
The FCA has published a video on its website relating to Conduct Rules. The video is only 1.5 minutes so
SM&CR – FCA explainer video
The Senior Manager and Certification Regime (SM&CR) applies to almost every UK solo-regulated firm, from very small firms (including sole
New SM&CR Annual Reporting Requirement
Conduct Rules are a key element of the SM&CR. They create a responsibility and accountability for good conduct for all
SM&CR indicators
We wrote recently about the extension of SM&CR implementation periods for solo-regulated firms: The deadline for firms to assess the
Extension of implementation period for SM&CR
The FCA has agreed with the Treasury that the deadline for solo-regulated firms to undertake the first assessment of the