SMCR - Complyport UK Consultancy Service

The SMF3 Role in FCA-Regulated Entities

In the ever-evolving landscape of financial regulation, the United Kingdom’s Financial Conduct Authority (“FCA”) plays a pivotal role in maintaining the integrity of financial markets and protecting consumers. One of […] [...]

Brexit Risks In Financial Services

Written by Paul Grainger, CEO, Complyport. Many financial services firms face risks relating to Brexit that could prove costly and damaging. The larger banks, insurance companies and financial institutions have […] [...]

Compliance News – Extension of SM&CR Implementation Periods For Solo-Regulated Firms

The FCA and HM Treasury has agreed to delay, from 9 December 2020 until 31 March 2021, the deadline for solo-regulated firms to have undertaken the first assessment of the […] [...]

Coronavirus (COVID-19) Update: FCA Statement – SM&CR And COVID-19 – Expectations On FCA Solo-Regulated Firms

The FCA issued a statement on 3rd April 2020 setting out its expectations to help FCA solo-regulated firms apply the SM&CR. Separate requirements apply to dual regulated firms. The FCA […] [...]

FCA releases near final rules on SM&CR for FCA regulated firms.

On 4 July 2018, the Financial Conduct Authority (“FCA”) released ‘The Senior Managers and Certification Regime: Guide for FCA solo-regulated firms’ on the extension of the Senior Managers and Certification […] [...]

SM&CR: FCA to consult on proposals to make information available on a wider range of individuals at authorised firms

Of relevance to: All FCA-regulated firms not currently within the Senior Managers & Certification Regime Key date: Summer 2018 The Financial Conduct Authority (“FCA”) and the Prudential Regulation Authority (“PRA”) […] [...]

FCA Consulting on Senior Managers and Certification Regime (“SMCR”)

Of relevance to: FCA-solo regulated firms, insurers and banks Key date: Comments to FCA by 21 February 2018 In December 2017, the FCA published Consultation Papers CP17/40, CP 17/41 and […] [...]

FCA proposing to automatically convert individuals from the Approved Persons Regime to the Senior Managers and Certification Regime

Of relevance to: All firms regulated by the Financial Conduct Authority (“FCA”) Key date: Consultation closes 21 February 2018; implementation in late 2018 for Insurers and in mid-to-late 2019 for solo-regulated […] [...]

FCA CP17/37 Industry Codes of Conduct and Discussion on Principle 5 Market Conduct

Of relevance to: Authorised firms, particularly those already subject to the Senior Managers and Certification Regime, including banks, building societies, credit unions and certain large investment banks Key date: Comments […] [...]

Event: Extension of SM&CR Forum

Extension of SM&CR Forum On 26th July 2017, the FCA published its long-awaited Consultation Paper (CP17-25) on the extension of the Senior Managers and Certification Regime (SM&CR), which focuses on […] [...]

Tag: SMCR

The SMF3 Role in FCA-Regulated Entities

Brexit Risks In Financial Services

Compliance News – Extension of SM&CR Implementation Periods For Solo-Regulated Firms

Coronavirus (COVID-19) Update: FCA Statement – SM&CR And COVID-19 – Expectations On FCA Solo-Regulated Firms

FCA releases near final rules on SM&CR for FCA regulated firms.

SM&CR: FCA to consult on proposals to make information available on a wider range of individuals at authorised firms

FCA Consulting on Senior Managers and Certification Regime (“SMCR”)

FCA proposing to automatically convert individuals from the Approved Persons Regime to the Senior Managers and Certification Regime

FCA CP17/37 Industry Codes of Conduct and Discussion on Principle 5 Market Conduct

Event: Extension of SM&CR Forum

INSIGHTS & EXPERTISE

NEWS & EVENTS

Webinar: Beyond Compliance: What the 2025 Consumer Duty Report Tells Us

Webinar: Unlocking the Power of ViCA, Your AI-Powered Virtual Compliance Assistant

Online Training Course: Your MLRO Training Day

Webinar: Navigating the IFPR Impact: Good and Poor Practices Observed

In-Person Training Course: Your MLRO Training Day

In-Person Training Course: Your MLRO Training Day

Subscribe for Exclusive Regulatory News and Updates

Member of:

Accredited by:

Member of:

Accredited by:

Global Offices

Complyport (UK)

Complyport (UAE)

Complyport (EU)

Connect With Us