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

FCA receives 210 whistleblower complaints over Consumer Duty in Q1

FCA receives 210 whistleblower complaints over Consumer Duty in Q1

Closed 265 whistleblowing cases between January and March

Michael Nelson
clock 11 May 2026 • 2 min read
Ex-investment adviser sentenced to additional prison time

Ex-investment adviser sentenced to additional prison time

Richard Faithfull failed to pay back £529,961

Sophia Panayi
clock 11 May 2026 • 2 min read
FCA to launch multi-firm review looking at bereavement processes

FCA to launch multi-firm review looking at bereavement processes

Follows customer vulnerability work

Sophia Panayi
clock 07 May 2026 • 2 min read