SM&CR – taking stock of the stock take


On 5 August 2019, the FCA published its ‘Senior Managers and Certification Regime Banking Stocktake Report’. Should anyone be under the misapprehension that this document is only of concern to the banking sector, the regulator is at pains to point out that it will be of interest to all SM&CR firms, including solo-regulated businesses coming into the Regime in December this year. In other words – ignore the report at your peril! To its credit the FCA has produced a succinct, easy to read round-up of the key issues and challenges faced by the banking sector and how well –…

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About Author

Richard Galley is Director of Learning at FSTP. Through our award winning training and consultancy partnership FSTP LLP we hope to become a trusted provider of services to client firms across Financial Services. Specialties: Training and consultancy, project and interim management from regulatory issues through to management development and board services. Chartered Member of the Chartered Institute of Securities & Investment

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