There are 16 item(s) tagged with the keyword "SM&CR".
Working Lunch: "It's more important than ever to look at PI well before renewal"
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
"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
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
A look at the regulator’s guidance in this rapidly developing area.
Don't take your eye off the SM&CR ball
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
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
Mark Greenwood looks at the mechanics of changing roles and Senior Manager functions under the new regime
Designating SM&CR roles
An in-depth look at the differences between senior managers and certified persons
FT Adviser podcast: Nowhere to hide from SM&CR
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
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.