The Financial Conduct Authority (“FCA”) place huge emphasis on culture and governance within regulated firms. Senior Manager & Certification Regime (“SM&CR”) seeks to expressly apply rules that govern the standard of behaviour expected of all individuals that operate in the regulated financial services (including non-approved persons) and promote a culture of accountability from the top down and the bottom up. SM&CR is categorised into three distinct categories which apply requirement under SM&CR proportionately.
These categories are;
To ensure that you embed SM&CR in your business you need to ensure that you implement policies and procedures and promote compliance through activities such as;
Our team of dedicated professionals support our clients through e-learning, classroom training, Senior Manager applications, Senior Manager training, Statement of Responsibility and fitness and propriety testing.
We offer a range of packages which suit a variety of budgets, helping our clients to meet their regulatory obligations with peace of mind.
Get in touch with us now to discuss SM&CR.
We offer a range of one-off and ongoing support services including courses to support your compliance setup and audits to demonstrate ongoing FCA compliance.
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