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The SM&CR and you

Understanding the Senior Manager and Certification Regime and how to implement it in your business.

Using Corterum

Everything you need to know about the Corterum app and how to use it.

Glossary of terms

A guide to some of the most common terms used when discussing SM&CR.

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Recent blogs

No excuses – FCA nudges Senior Managers about looming responsibilities

Yesterday, the FCA published its “Regulation round-up” for September 2020 – touching upon the SM&CR on a couple of fronts. Conduct Rules breach reporting Firms are reminded that they must submit form REP008 via Gabriel in order to report disciplinary action taken against all non-Senior Manager members of staff for breach of the Conduct Rules. 

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Conduct Rules Breaches Reporting to begin on 2 November 2020

On 13 August 2020, the FCA published a new webpage on “Conduct Rules reporting for solo-regulated firms”. The Conduct Rules require all firms to notify the FCA if disciplinary action is taken against any member of staff who is not a Senior Manager for breach of the Conduct Rules.  Whilst “ancillary staff” are exempt, the

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FCA launches enhanced Financial Service Register

On 27 July 2020, the FCA published a press release confirming the launch of its updated Financial Services Register. The purpose of the register is to allow consumers to conduct a degree of due diligence on individuals and firms with which they may conduct financial services business. The key enhancements to the Financial Services Register

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