SM&CR Compliance: A Guide to Following the Senior Managers and Certification Regime

SM&CR Compliance (European edition)

A Guide for Following the Senior Managers and Certification Regime

Over the past year, many compliance professionals have struggled to prepare for the Senior Managers and Certification Regime (SM&CR). The FCA’s increased standards of “fit and proper” conduct, and its willingness to regulate and sanction non-financial misconduct, have caused many firms to rethink their priorities.

Successful SM&CR Compliance begins with a prioritisation of ethics, governance, and effective leadership, and ends with the implementation of efficient RegTech. Download SM&CR Compliance: A Guide for Following the Senior Managers and Certification Regime to learn how your firm can handle SM&CR requirements.