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Latest News

FCA to increase focus on SMCR conduct rules

The Financial Conduct Authority has published the findings of a review into how successfully the the senior managers and certification regime is embedded into the banking sector

Latest News

SMCR extension commencement order published

New Regulations have extended the senior managers and certification regime to Financial Conduct Authority solo-regulated firms on 9 December 2019, except for benchmark firms, for which the commencement date is 7 December 2020

Latest News

FCA issues senior managers and certification regime update

The UK Financial Conduct Authority (FCA) has published an update on the extension of the senior managers and certification regime (SMCR) to FCA solo-regulated firms. This will be of particular interest to benchmark administrators who will not be required to comply with the SMCR immediately but will need to look out for future developments

Latest News

PRA consults on bringing resolution assessments into SMCR prescribed responsibilities

The Prudential Regulation Authority proposes to amend the prescribed responsibility for recovery and resolution so that the senior manager who is assigned the prescribed responsibility for recovery plans and resolution packs would have an additional equivalent responsibility for carrying out resolution assessments and related obligations

Insight

SMCR: six months to go

Do you need help implementing the new regime? Through out SMCR roadmap, project plan, guidance notes and template documents, we have created a cohesive, value-driven approach tol get you where you need to be on time

Latest News

A seamless approach to SMCR

Our Senior Managers and Certification Regime (SMCR) toolkit offers a selection of ready-to-use packages for firms to use to help themselves prepare for the implementation of SMCR

Insight

FCA consults on amendments and clarifications to the SMCR

The Financial Conduct Authority has issued a consultation on optimising the Senior Managers and Certification Regime, which includes proposals for xcluding the Head of Legal from the Senior Managers Regime and changing the scope of the Certification Regime

Insight

Senior Managers and Certification Regime – spreading the net wider

The SMCR regime governs the appointment and conduct of senior and key personnel at impacted firms. Applying originally to banks, building societies and PRA-authorised investment firms, the regime is to be extended to all regulated firms.  We explain what this entails

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