SM&CR - Important update on conduct rules

The senior managers and certification regime (SM&CR) will be extended to all FCA regulated firms on 9 December 2019. One of the important obligations for your firm is to train your staff on the new conduct rules.

Conduct rules will apply to most, if not all, of your staff members. The only staff that the rules will not formally apply to are ancillary staff. These are people who are not involved in your financial services business at all, for example post-room staff, cleaners and some receptionists.

If you’re not a client, to read this content you must sign up for a free guest account

Clients of threesixty are kept up to speed with the latest regulatory, industry and technical developments via our regular news and opinions articles.

As well as being updated via the articles we publish to threesixty online, clients can specify to us what type of articles they want to receive (by category) and how frequently they receive them.

To try this service, simply register your details with us and we'll give you 3 months free and unlimited access to our news and opinions.