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Solo-regulated FCA firms must comply by 9 December 2019. Are you ready?

Banks, building societies, credit unions and designated investment firms have been subject to SM&CR since 2016. In December 2018 the Regime extended to dual-regulated insurers and their managing agents.

In December 2019, a further extension means that the Regime will apply to almost every firm regulated by the FCA, including consumer credit and claims management companies (CMCs).

Join our live webinar on 31st July at 11.30am to learn everything you need to know about SM&CR, and how Unicorn's end-to-end Learning Management System can help you meet all SM&CR training demands via an easy-to-navigate, customisable platform.

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Senior Managers Regime

New Senior Management Functions (SMFs) to replace existing Significant Influence Functions.

Specific Prescribed Responsibilities which must be allocated to SMFs.

Certification Regime

Certify the fitness and propriety of key employees who are performing activities which may have a significant impact on customers, the firm and/or market integrity.

Conduct Rules

New Conduct Rules to replace existing Statements of Principle and Code of Practice for Approved Persons and apply to a broader employee population.