Compliance Insights Articles

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...

What Senior Managers Need to Be Doing Now for the SM&CR

Robert Bell

Oct 31, 2019

What Senior Managers Need to Be Doing Now for the SM&CR

As solo-regulated firms are preparing to leave behind the Approved Persons Regime and implement the Senior Managers and Certification...

SM&CR Conduct Rules Training Requirements

Robert Bell

Jul 11, 2019

SM&CR Conduct Rules Training Requirements

For solo-regulated firms the commencement of SM&CR is fast approaching, and 9th December will be here before we know it. Most firms will...

Reporting Requirements under the Senior Managers & Certification Regime SM&CR

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...

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