Displaying 8 of 18 results
SM&CR: key dates

27 July 2017

Find out about the timeline for SM&CR implementation.

Understand Conduct Rules

27 July 2017

Firms are not just required to meet the relevant Conduct Rules. They must also document their compliance and provide conduct training to all staff and most importantly to customer-facing staff.

Prepare for the certification regime

27 July 2017

Firms will need to introduce a self-certification scheme to ensure key individuals are fit to carry out their role. Understand what this means in practice.

How will senior managers be affected?

27 July 2017

Some senior managers will have new responsibilities under the SM&CR regulations. Find out the steps your firm will need to take.

Get ready for the SM&CR

27 July 2017

Financial services firms have around 12 months to prepare for the biggest regulatory shake-up since the economic crash: the Senior Managers and Certification Regime (SM&CR).

SM&CR: what you need to know

27 July 2017

Discover why the Senior Management and Certification Regime has been introduced, and who needs to comply with the rules.

The extended Senior Managers and Certification Regime: are you prepared?
David Fenton

18 July 2017

Over the coming weeks, the Financial Conduct Agency will shed light on how it intends to roll out the Senior Managers and Certification Regime (SMCR) to the rest of the financial services industry.

Jonathan Pepper


Jon leads the financial services faculty within the risk advisory practice. He advises financial services firms on internal audit and assurance and regulatory compliance.