Articles

Incisive commentary from leading voices in the world of compliance

22 Sep 2017
Published in Article

A new broom: making sense of the Senior Managers and Certification Regime

The FCA is currently consulting on extending the SM&CR to all financial services firms, including insurers and those firms regulated solely by the FCA, as well as making some minor changes to the system with the benefit of a year’s experience. It is therefore a good time to ask how the SM&CR operates, what’s coming up, and whether it has worked so far.