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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.

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