Should we fear the arrival of SM&CR?


We’re seeing a range of businesses offering courses and consultancy around the Senior Managers and Certification Regime. My view is that for larger organisations this may well be helpful but for most firms, if they are already reasonably well organised, there shouldn’t be a great deal to change. With implementation due by 9 December there are still a few months to identify any challenges and adopt some key measures – as usual watch out for the potential unintended consequences that may arise as you go through the implementation process. Impact of statements of responsibility Senior managers will have their names…

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Compliance Cubed Financial services is constantly changing - my passion is helping firms function effectively and in compliance with FCA regulation

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