SMCR solutions

Senior Managers & Certification Regime (SM&CR) Compliance Solutions

The Senior Managers and Certification Regime (SM&CR, or SMCR) comes into effect on 9 December 2019 for solo-regulated firms, impacting approximately 47,000 financial firms.

SM&CR was designed to improve accountability and enhance a financial services firm’s focus on the culture within. The Financial Conduct Authority (FCA) has already implemented this regime for banks – and is serious about enforcement.

Connect with ACA to learn how we can provide you with the essential elements to help you become compliant with the new regime and help you address some of the key deliverables.

 

SHORT PEER ANALYSIS POLL | SM&CR

Click here to take our short poll to measure your firm’s SM&CR preparedness against other financial firms.

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HOW WE HELP

               

Our SM&CR solutions include:

  • SM&CR implementation planning and support services, as well as other solutions to help guide investment managers through this new regime. Services include:
    • Senior Management Briefing
    • Gap Analysis and Implementation
    • Updating of your compliance framework
  • ACA Training Solutions offers open courses devoted to SM&CR, delivered by one of our specialist trainers at our office, or at your premises at a time convenient for you.

Contact us for more information.

RESOURCES

 

Factsheets

  • SM&CR Implementation Planning and Support

Download

 

Webcasts

  • Senior Managers and Certification Regime: What you need to know

On-Demand

 

Events

  • Senior Managers and Certification Regime: Time for Hard Decisions (held on 22 May 2019)

Access Slides

 

 

 

REQUEST MORE INFORMATION

 

To request more information, complete our contact form or call our SM&CR experts in London at +44 (0) 20 7042 0560.