SM&CR – What should you be doing now to ensure compliance?
As you will have seen from the previous articles in our series, the Senior Managers & Certification Regime (SM&CR) comes into force in...
top of page
![Logo[1].jpg](https://static.wixstatic.com/media/94cd04_f19ec68826ff46fe9ef76eb000435b8e~mv2.jpg/v1/fill/w_238,h_121,al_c,q_80,usm_0.66_1.00_0.01,enc_auto/Logo%5B1%5D.jpg)
Follow Us
Compliance Insights Articles
Search
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...
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...
Robert Bell
Jan 15, 2019
The Senior Managers & Certification Regime (SM&CR) – Plan your 2019
This is the year that the Senior Managers & Certification Regime (SM&CR) comes into force for solo-regulated firms (i.e. firms regulated...
Robert Bell
Jan 2, 2019
Senior Managers & Certification Regime for insurance firms – What now?
As of the 10th December, insurance firms are now subject to the Senior Managers and Certification Regime. So as an insurance firm what...
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...
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...
Robert Bell
Nov 20, 2018
FCA's Recent Discussion Paper on a Potential 'Duty of Care'
In July of this year, the Financial Conduct Authority (FCA) published a Discussion Paper on a potential ‘Duty of Care’, which some of the...
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...
Victoria Bell
Oct 25, 2018
Insurance Firms and The Duty of Responsibility Under SM&CR
With the commencement date looming, insurance firms should be well within the final stretch of their preparation for the new Senior...
Robert Bell
Oct 9, 2018
How Claims Management Companies Need to Apply for FCA Authorisation & Implications of SM&CR
The regulation of Claims Management Companies (CMCs) within England, Scotland and Wales is due to change in 2019, with the Financial...
Robert Bell
Sep 26, 2018
What Insurance Firms Need to Know About the Incoming SM&CR
Insurance firms are gearing up for the implementation of the Senior Managers and Certification Regime on 10 December this year. The SM&CR...
Victoria Bell
Aug 1, 2018
Preparing for the Senior Managers and Certification Regime
The FCA have now published the ‘near-final’ draft rules for the Senior Managers and Certification Regime (SM&CR), which currently only...
Robert Bell
Jan 18, 2018
Regulatory Horizon for 2018
2018 promises to be a bumper year for compliance. I can hear what you are thinking, you’ll be muttering, “Isn’t it always?” Seriously,...
Victoria Bell
Dec 19, 2017
Transitioning FCA firms and individuals to the Senior Managers & Certification Regime: Important
The Financial Conduct Authority (FCA) have published a package of proposals outlining their proposed transitional arrangements for...
Victoria Bell
Nov 14, 2017
What you need to know: the new fit & proper requirements in SM&CR
The FCA’s proposed extension to the Senior Managers and Certification Regime aims to bring all FCA regulated firms under a single regime,...
Robert Bell
Nov 7, 2017
What's on the Regulatory Horizon?
Your horizon scanning has never been as important as it is right now, a time when we have significant and numerous regulatory changes...
Victoria Bell
Oct 3, 2017
After you've gained FCA Authorisation - What to consider next?
Gaining FCA authorisation is a vital step for consumer credit firms. However, once you have completed the journey to authorisation, it’s...
Matthew Mason
Sep 28, 2017
10 Steps to FCA Authorisation
The prospect of preparing and submitting an FCA application and the numerous challenges this poses can be overwhelming and things can...
Matthew Mason
Aug 3, 2017
Compliance Briefing: June - July 2017
To download this briefing in it's entirety, please click here. Regulatory Sanctions ICO fines Satsuma Loans for spam texts Credit company...
Compliance Insights Newsletter
The Email Newsletter for Compliance Professionals. Sign up to get regular compliance advice, news and updates delivered straight into your inbox. Designed to help you keep your finger on the pulse on the latest developments in compliance and it’s FREE.
bottom of page