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09 May 2019

SM&CR Extension: issues for solo-regulated firms to consider as implementation date approaches

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From 9 December 2019 47,000 FCA solo-regulated firms will become subject to the Senior Managers and Certification Regime ("SM&CR").

Even for "limited-scope" and "core" firms, which will benefit from a degree of automatic transitioning to the new regime, several important issues require careful consideration well in advance of the 9 December 2019 commencement date.

Having advised Banks ahead of the March 2016 implementation of the Banking SM&CR, and a number of solo-regulated firms on the extension, we set out the five issues which will require the most careful consideration in the weeks ahead.

Click here to read more.

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Tony Woodcock

Tony Woodcock
Partner

T:  +44 20 7809 2349 M:  +44 7825 625 903 Email Tony | Vcard Office:  London

Alan Ward

Alan Ward
Senior associate

T:  +44 20 7809 2295 M:  Email Alan | Vcard Office:  London