Mark Greenwood: A final checklist for the SM&CR

Staff are your responsibility

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In short, if the firm breaches one of the FCA’s requirements, the senior manager could be held personally responsible.
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In short, if the firm breaches one of the FCA’s requirements, the senior manager could be held personally responsible.

With the number of days left until the implementation of the Senior Managers and Certification Regime (SM&CR) nearing single figures, SimplyBiz Group's Mark Greenwood, rounds up everything that advice firms should have considered

Firstly, there has been so much noise around what you need to do to be ready for SM&CR, I thought it might be worth taking a quick look back at why the regulator introduced the new regime in the fi...

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