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...

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...

Senior Managers & Certification Regime: Conduct Rules Implementation

Robert Bell

May 1, 2019

Senior Managers & Certification Regime: Conduct Rules Implementation

With summer just around the corner, December may feel like a long way off. But there are only seven months to go until the Senior...

What is required in a Statement of Responsibility under SM&CR?

Robert Bell

Mar 19, 2019

What is required in a Statement of Responsibility under SM&CR?

The new Senior Managers and Certification Regime is designed to encourage accountability within firms, aiming to prevent misconduct by...

SM&CR – What should you be doing now to ensure compliance?

Robert Bell

Feb 14, 2019

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...

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...

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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