Compliance Insights Articles

Nov 19, 2019

Final Stage Troubleshooting for SM&CR

With just over two weeks to go until commencement, solo-regulated firms should be finalising their preparations for the start of the...

Final preparations for the Senior Managers and Certification Regime

Robert Bell

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...

Allocating Prescribed Responsibilities Under SM&CR

Victoria Bell

Jul 23, 2019

Allocating Prescribed Responsibilities Under SM&CR

Under the incoming Senior Managers and Certification Regime, Core and Enhanced firms will have to allocate Prescribed Responsibilities to...

Statement of Responsibilities & Prescribed Responsibilities Under SMCR

Victoria Bell

Apr 16, 2019

Statement of Responsibilities & Prescribed Responsibilities Under SMCR

This week we’re going to take a look at the content of Statements of Responsibilities (SoRs), – the document outlining the...

What Conduct Rules training is required under SM&CR?

Robert Bell

Dec 4, 2018

What Conduct Rules training is required under SM&CR?

With next week marking one year until the roll-out of the Senior Managers and Certification Regime to solo-regulated firms, all affected...

What are Prescribed Responsibilities under the Senior Managers & Certification Regime (SM&CR

Victoria Bell

Nov 27, 2018

What are Prescribed Responsibilities under the Senior Managers & Certification Regime (SM&CR

The Senior Managers and Certification Regime is due to commence on 9 December 2019 for solo-regulated firms, and on 10 December 2018 for...

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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