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...

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...

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...

Robert Bell

Apr 2, 2019

Regulatory Horizon for 2019

In this article, we’ll take a look ahead at the upcoming regulatory changes over the next nine months of 2019. In the last two years,...

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...

Senior Managers & Certification Regime for insurance firms – What now?

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...

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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