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

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Glossary of terms

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Recent blogs

Fit and Proper testing deadline delayed

It took a while but the FCA has finally addressed the elephant in the room… On 30 June 2020, due to the ongoing Coronavirus pandemic, the FCA published a press release confirming that the deadline for FCA solo-regulated firms to have undertaken the first round of fit and proper testing for certified employees has been

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Publication of FCA Directory delayed

The FCA has updated its Coronavirus website.  On the SM&CR front, the introduction of Directory of Certified Persons (which was due to be published on the Financial Services Register before the end of June 2020) has been pushed back to “H2 2020”. We’ll continue to provide updates as the situation develops. To make sure that

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Senior Managers Regime for all benchmark administrators looms into view

On 2 June 2020, the FCA published Policy Statement 20/5, “Extending the Senior Managers Regime to benchmark administrators: final rules”.  Under the policy statement, from 7 December 2020, the FCA intends to extend the Senior Managers Regime and the Conduct Rules to UK-authorised benchmark administrators that do not undertake any other regulated activities (“In-scope Firms”).[1] 

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