SMCR (Senior Management & Certification Regime) – Core Firms

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Objectives To work through the increased SMR regulations as they apply to core firms and capture the key changes that affect firms, Some test questions are set out towards the end of this post. Outcomes To understand the outcomes the regulator wishes to achieve and the challenges this presents to firms and how to meet them  To connect the SM and CR to your culture and the drivers of it To establish a timeline of key events that need to be completed before 9 December 2020 To map across existing controlled functions into the new regime allocate prescribed responsibilities create…

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I provide consultancy and support to UK based financial services companies helping them to design and implement practices that develop their people, achieve their business goals and comply with the needs of the regulators. I specialise in T&C, competence assessment and conduct which may be of particular interest to companies as they address the requirements of the Certification Regime and Code of Conduct requirements. My specialities include: Knowing you have a business to run Valuing your people as your greatest asset Keeping things simple, practical and relevant Engaging the business to promote ownership Ensuring Compliance is a natural by product of doing things well

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