Understanding SM&CR

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

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,

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,

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