Watch Now

“Lorem Ipsum is simply dummy text of the printing and typesetting industry. Lorem Ipsum has been the industry's standard dummy text ever since the 1500s”

Name, Company

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.

On 9 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).

Watch our on-demand webinar now to learn everything you need to know about SM&CR; including background and latest news from Philippa Grocott, Partner at FSTP; an introduction to the SM&CR eLearning suite by Product Owner Richard Whittington and an overview of our SM&CR tools by Learning Manager, Sophie Creed.

You can also find out more about candidate screening software that can support SM&CR with Access Screening.

To discuss software and tools to help with your SM&CR compliance, please contact 0845 345 3300 or request a demo of our SM&CR solutions within our LMS.

We Partner with the best names in the cloud
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.