SM&CR: The final countdown

November 18, 2019 by ACA Compliance Group


Many solo-regulated firms may need to accelerate the pace at which they are preparing for regime, which has a deadline of 9 December this year.

In less than one month, 47,000 firms will find themselves impacted by the Senior Managers and Certification Regime (SM&CR). For some firms, the coming of this new regime will necessitate substantial changes to both governance and culture.

It’s important that firms get SM&CR right at the level of each individual employee. There are new policies, processes, and documentation that solo-regulated firms must implement, and the engagement that must take place with certain individual employees will take time. In addition, employees across the firm need to be trained on SM&CR in general, and in many cases, as it touches their own roles in particular.

Are you confident that you are prepared to meet the deadline?

Download our five-point checklist to benchmark your readiness

How We Help

Please call Sam Reid or Carl Day on +44 (0) 20 7042 0560 to learn more about ACA’s comprehensive and practical choice of SM&CR planning solutions, designed to help firms and individuals achieve and maintain compliance with the upcoming regulation. This ranges from full implementation of the regime to a review of your current project programme and also includes open training courses.