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November 2, 2017

Compliance Matters – 26 October 2017

The art of self-defence: how to protect yourself from the SMR

The new Senior Managers and Certification Regime is not just intended to encourage high-ranking executives to be responsible for their actions; employees also need to consider how to best protect their own interests.

Not all aspects of the SM&CR have come into force yet, but we now know that in 2018 the regime will be rolled out across the entire financial services sector, affecting up to 46,000 firms.  The profound changes it brings will include prescribed governance structures, recordkeeping, registration and managerial requirements. READ MORE

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