SM&CR (Senior Managers and Certification Regime)

Understand the new senior managers regime coming into effect on 9 December 2019

SM&CR overview

The Senior Managers and Certification Regime (SM&CR) will impact all financial advisory firms. The SM&CR will require all senior managers to know what they are responsible for and enables the FCA to hold those individuals to account who fail in those duties.

SM&CR free webinar


SM&CR webinar slides


SM&CR - 10 things you need to know


Other related content

Compliance, compliance, compliance...

There is always something to be keeping up to date with in the financial advice industry, be it new regulations such as this approved persons regime, or more established regulatory covenants such as GDPR and MiFID II. We strive to help our clients stay compliant in tandem with their use of our financial adviser software, Intelligent Office. For more information on the regulations and how we have prepared for them, hover over the 'Regulation' tab at the top of the page for more webinars, fact sheets and papers.