Compliance Insights Articles

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...

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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