CISI launches SM&CR toolkit ahead of December deadline

Deadline 9 December

Sophie King
clock • 2 min read

The Chartered Institute for Securities & Investment (CISI) has launched its Senior Managers & Certifications Regime (SM&CR) Conduct Rules toolkit to help members prepare for the upcoming rule changes.

The Financial Conduct Authority (FCA) launched the SM&CR in 2016. It will apply to all financial services from 9 December this year, bringing with it new administrative, regulatory and conduct requirements. SM&CR aims to reduce harm to consumers and strengthen market integrity by making individuals more accountable for their conduct, while encouraging a culture of personal responsibility throughout businesses. The CISI's toolkit focuses on one of the three pillars of SM&CR - conduct rules. It correlates the five conduct rules specified by the FCA and provides information to CISI resou...

To continue reading this article...

Join Professional Adviser for free

  • Unlimited access to real-time news, industry insights and market intelligence
  • Stay ahead of the curve with spotlights on emerging trends and technologies
  • Receive breaking news stories straight to your inbox in the daily newsletters
  • Make smart business decisions with the latest developments in regulation, investing retirement and protection
  • Members-only access to the editor’s weekly Friday commentary
  • Be the first to hear about our events and awards programmes

Join

 

Already a Professional Adviser member?

Login

More on Regulation

Is FCA expert evidence truly independent?

Is FCA expert evidence truly independent?

Upper Tribunal judgment thinks not

Gareth Fatchett
clock 25 June 2026 • 5 min read
SFO to secure further £491,000 from overseas investment fraudster

SFO to secure further £491,000 from overseas investment fraudster

Targeted British expats in Jakarta

Jen Frost
clock 22 June 2026 • 1 min read
Lords warns financial services bill could weaken regulators' accountability

Lords warns financial services bill could weaken regulators' accountability

Open letter to investment minister

Michael Nelson
clock 19 June 2026 • 2 min read