It seems only yesterday that the SM&CR was just a dot on the horizon. Well, now it's very definitely here, and we trust your preparations went smoothly and you now have all the relevant processes in place.
The Senior Managers & Certification Regime is one of the biggest changes to how firms are supervised in recent years. In advance of the December 19 implementation date, we provided significant support to ensure the transition of our firms was smooth and all-encompassing, supporting the preparatory work required for firm principals and the feedback that we have had is that the support provided was invaluable in getting some firms across the time within the timeframe. This support, like the Regime itself, is ongoing and we will continue to provide personalised support to all our Signature firms where and when they need it.
As a Signature firm, you can access our dedicated SM&CR hub, which holds a significant amount of information for those looking for continuing support. These include access to documentation, policy and procedural guides and supporting services, which include Fit & Proper and Criminal Records Checks, a Training and Competency service, and an industry leading online Conduct Rules training course, amongst others.
Written by our expert policy team, the documentation provides a wealth of information on all aspects of the Regime and the teams managing the supporting services are well placed to be able to offer support across all firm types and scenarios.
Guidance for Signature firms is only a phone call away. Our specialist helpdesks are always available to provide you with guidance and support - whatever your query.
Our compliance helpdesk will also provide guidance on GABRIEL, financial promotions, disclosure documentation and a wide range of other areas, with our dedicated pension technical team on hand to provide specialist advice on all HMRC, DWP and FCA aspects of related issues.
Alternatively, you can request a call back: