Understanding SM&CR
Everything you need to know about the Senior Managers and Certification Regime, all in one place

Understanding SM&CR

Everything you need to know about the Conduct Rules
The “Conduct Rules” are a set of high-level standards which apply DIRECTLY to almost everyone working within the UK financial services industry. Here’s what you
Michael Beaton
February 6, 2023

Understanding SM&CR

Fit and Proper Testing: what you need to know
Fit and proper testing is another key element of the SM&CR. Here’s what you need to know… Fit and proper testing applies to Senior Manager,
Michael Beaton
January 24, 2023

Understanding SM&CR

The top 10 things you need to know about Statements of Responsibilities…
Statements of Responsibilities are a key element of the SM&CR and a key focus of the FCA. If you bear these basic rules in mind,
Michael Beaton
January 20, 2023

Understanding SM&CR

The top 10 things you need to know about regulatory references under the SM&CR
Dealing with regulatory references under the SM&CR really isn’t that difficult if you are aware of these 10 key rules… You must request a regulatory
Michael Beaton
January 13, 2023