SM&CR

A recent Supreme Court hearing has highlighted the importance of properly verifying a candidate’s qualifications and suitability for a post. Are you aware of the requirements for regulatory referencing under SM&CR?

Our Development Zone Course of the Month for April is ‘SM&CR – Individual Conduct Rules’. The Conduct Rules set out the basic standards of personal conduct that individuals working in financial services are expected to abide by and apply to almost all staff who carry out financial services roles within a firm.

The Conduct Rules apply to almost all staff who carry out financial services roles within a firm. Is your firm aware of the training requirements?

Ensuring that compliance is embedded into an organisation’s structure is vital to determining a business’ success. But how can businesses ensure that they are cultivating the right culture in the workplace?

Are you compliant with SM&CR? The regulator has reminded firms who have not submitted details of Directory Persons to the Financial Services Register.

Firms have a responsibility to reasonably ensure staff are ‘fit and proper’ to carry out their roles. What should firms be doing to implement the FCA’s fitness and propriety requirements?

The FCA plans to publish and maintain a directory of certificated persons on the Financial Services Register. Bruce Fayle explains how firms should submit the details of their certification regime staff.

Kirk Ford provides a timely reminder about the purpose of regulation and the ethos behind the Senior Managers and Certification Regime.

The FCA has provided guidance on what it considers to be good practice and poor practice in regards to Conduct Rules training and fitness and propriety assessments.