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SMCR: helping Firms and Individuals meet the Requirements

The Challenge

The FCA’s Senior Managers and Certification Regime (SMCR) is one of the most significant and wide-ranging regulatory initiatives for a generation and is fundamental to the regulator’s philosophy and approach.

Implementing, and managing ongoing compliance with, SMCR has presented regulated firms and individuals with a multitude of challenges: operational, cultural, governance, compliance and HR.

How CTP can help ensure SMCR Compliance

From the FCA’s initial proposals, through the consultation process and to the final implementation deadlines and beyond, CTP have provided a suite of carefully calibrated and nuanced training programmes to help firms and individuals understand their particular obligations under SMCR and take practical and proportionate steps to ensure preparedness or compliance at each stage.

CTP - In-house Training Solutions

There is no ‘one size fits all’ training solution for SMCR. CTP have designed and continue to deliver co-ordinated but distinct training programmes – both open and in-house - that target the specific SMCR challenges facing different areas and functions of each business.

Examples include:

Implementing SMCR for Compliance, Company Secretariat and Operations

Understanding your Responsibilities as a Senior Manager

SMCR – the Role of HR

Delivering effective Conduct Rules Training

Conduct Rules – understanding your Obligations under SMCR as Certified Person or SMF

Managing ongoing Compliance with SMCR

SMCR during COVID-19

Ongoing Support

SMCR will be a major feature of the regulatory landscape for many years to come, as will the associated and changing compliance and people challenges it presents to firms. Our clients can be confident CTP will update and adapt our training accordingly and continue to provide up to date regulatory insight, good practice updates and practical and proportionate compliance tips and tolls for firms and individuals.



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