SMCR for Solo-Regulated Firms

The FCA have now extended the Senior Managers and Certification Regime (SM&CR) to approx 47,000 firms from 9th December 2019, which includes senior managers and certification staff within those firms. The extension of the SMCR aims to make Senior Managers and certain employees within financial services organisations accountable for their own actions and competence. Those […]

How to Write a Certificate for Certification Functions

Certification Functions are those that cover specific functions that are not not specified as Senior Management Functions, but that can still have a significant impact on customers, the firm and/or market integrity. The FCA does not approve those individuals performing certification functions in the same way that they do Senior Managers. Instead, the firm itself […]