Compliance Insights Articles

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...

Robert Bell

Nov 12, 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...

Victoria Bell

Jul 23, 2019

How Non-Executive Directors Will Be Affected By The SM&CR

This week we’re going to take a look at how Non-Executive Directors will be affected by the implementation of the Senior Managers and...

Victoria Bell

Feb 19, 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...

Robert Bell

Feb 14, 2019

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