From 9 December 2019, the Senior Managers and Certification Regime (SMCR) will apply to all solo-regulated FSMA authorised firms - including investment advisers, investment managers, private equity firms and consumer credit firms.
It is now important for all firms to keep one eye on the clock while working through their SMCR "to do" list. While you may be well positioned to move to the new regime, with Q4 looming, there is still plenty to do.
Firms must ensure:
From 9 December the new requirements will be live. Firms must be ready to comply so the SMCR's requirements become business as usual.
As your firm approaches the final countdown to the 9 December deadline, this seminar aims to help you do a stock-take of areas you should now be working on, while giving some practical approaches to compliance from regulatory and employment angles.