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June 5 2019

Senior Managers & Certification Regime

FSMA solo-regulated firms are now preparing for the Senior Managers & Certification Regime (SM&CR) which comes into effect on 9 December 2019 and replaces the Approved Persons Regime. The aim of the SM&CR is to ensure accountability as well as setting standards for personal conduct. 

You can read about the SM&CR, including guidance that gives firms practical assistance in preparing for these changes. For screening guidance on roles affected by SM&CR, please check out our Financial Services information page or contact your Account Manager to discuss.