Compliance Insights Articles

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...

How Non-Executive Directors Will Be Affected By The SM&CR

Victoria Bell

Feb 19, 2019

How Non-Executive Directors Will Be Affected By The SM&CR

This week we’re going to take a look at how Non-Executive Directors will be affected by the implementation of the Senior Managers and...

Fit and Proper Requirement of SM&CR - What does this mean?

Victoria Bell

Jan 30, 2019

Fit and Proper Requirement of SM&CR - What does this mean?

Solo-regulated firms that will be within the scope of the Senior Managers and Certification Regime from the end of this year should...

Solo-Regulated Firms and The Senior Managers & Certification Regime

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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