Senior Managers and Certification Regime: Preparing for 9 December 2019
In a series of four articles, Sarah Leslie looks at the Senior Managers and Certification Regime (SMCR) that will apply to all Financial Conduct Authority (FCA) solo-regulated firms from 9 December 2019:
- Senior Managers and Certification Regime: The basics;
- Preparing for the SMCR: Timeline and checklist;
- SMCR practical steps: Statements of responsibilities, fitness and propriety, regulatory references; and
- SMCR practical steps: Conduct rules, employment contracts, policies.