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    SM&CR whitepaper with Phil Young of Zero

    SM&CR is due to come in to force for all regulated firms on 9 December. We've produced this white paper with Phil Young to help you and your firm prepare.

    You can find out more information on SM&CR by visiting our support page, where we've pulled together a helfpful summary of what SM&CR means for you and your business.


    Who is and isn't caught by SM&CR

    The FCA has published its feedback and final rules to support the introduction of the senior managers and certification regime (SM&CR). The SM&CR policy statement is aimed at clarifying queries from financial services firms.

    Training your staff on the new code of conduct rules

    I first wrote about the senior managers and certification regime (SM&CR) for illuminate back in 2017. At the time, the expectation was that the new regime would start in mid-2018.

    What exactly is a paraplanner anyway?

    The age old question of "just what is a paraplanner?" has haunted me at dinner parties, the occupation box of any application form and even within our own profession. It's not one that is easily answered, but SM&CR has dictated that we give it another bash.