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April 19, 2017

Governance & Compliance – March 2017

Orwellian regime

The cultural change that the Senior Managers and Certification Regime represents should not be underestimated

The Senior Managers and Certification Regime (SMCR) rules apply to individuals working at regulated firms in banks, building societies, credit unions, PRA investment firms and foreign banks with branches operating in the UK.  The rules, which came into force on 7 March 2016, replace the Financial Conduct Authority’s former Approved Persons Regime (APER).

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