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

Adviser firm revenue reaches £8.38bn in 2025

Adviser firm revenue reaches £8.38bn in 2025

Adviser posts fall to 37,517

Sophia Panayi
clock 24 July 2026 • 1 min read
Investment fraudsters jailed over £11.5m scam

Investment fraudsters jailed over £11.5m scam

Targeted elderly individuals and amassed 115 victims

Jen Frost
clock 21 July 2026 • 3 min read
Simpler advice rules should not mean simpler client understanding

Simpler advice rules should not mean simpler client understanding

The direction of travel is clear

Elly Dowding and Lee Coates
clock 17 July 2026 • 2 min read