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There are 16 item(s) tagged with the keyword "SM&CR".

Working Lunch: Working Lunch: "It's more important than ever to look at PI well before renewal"

28 Aug 2020

In the latest Professional Adviser Working Lunch broadcast, Janice Laing, Richard Nuttall and Dan Russell discussed SM&CR, vulnerability, PI, tech and business efficiencies. 

Get prepared for the SM&CR deadline Get prepared for the SM&CR deadline

26 Aug 2020

"Virtual conversations and working digitally are now very much part of the ‘new normal' and employing them in your processes could help you be ready to meet the SM&CR December deadline." Janice Laing, Managing Director of Compliance First – part of The SimplyBiz Group, talks about the practical aspects of preparing for the upcoming #SM&CR deadline.

Don't put SM&CR on the back burner Don't put SM&CR on the back burner

10 Jul 2020

Richard Nuttall, director of compliance policy at The SimplyBiz Group, said the regulator's "sympathetic approach" to those firms affected by the coronavirus was to be applauded, but warned the extension was not a "concession for all firms to delay their fit and proper assessments".

Guidance provided around the Senior Managers & Certification Regime during COVID19 Guidance provided around the Senior Managers & Certification Regime during COVID19

19 May 2020

A look at the regulator’s guidance in this rapidly developing area.    

Don't take your eye off the SM&CR ball Don't take your eye off the SM&CR ball

19 Feb 2020

Our director of compliance services, Mark Greenwood, explores the ways in which 9 December 2019 was only the start of the SM&CR journey for advisers.

SM&CR: Ensure your employees are Fit and Proper SM&CR: Ensure your employees are Fit and Proper

28 Jan 2020

Mark Greenwood of The SimplyBiz Group takes a look at the practicalities and application of the FCA’s Fit and Proper requirements

Putting the fun into functions Putting the fun into functions

02 Jan 2020

Mark Greenwood looks at the mechanics of changing roles and Senior Manager functions under the new regime

Designating SM&CR roles Designating SM&CR roles

06 Dec 2019

An in-depth look at the differences between senior managers and certified persons

FT Adviser podcast: Nowhere to hide from SM&CR FT Adviser podcast: Nowhere to hide from SM&CR

22 Nov 2019

Group Training Manager, Michael Pashley, joins the FT Adviser podcast to discuss what advisers need to know about the upcoming regulation. 

Mark Greenwood: A final checklist for the SM&CR Mark Greenwood: A final checklist for the SM&CR

21 Nov 2019

With the number of days left until the implementation of the Senior Managers and Certification Regime (SM&CR) nearing single figures, SimplyBiz Group's Mark Greenwood, rounds up everything that advice firms should have considered.