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SM&CR Implementation Tasks (Part 5) | SMCR Software | Worksmart

Posted by Julie Pardy on March 11, 2019

What Can you and your firm do now?

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SM&CR Implementation Tasks (Part 4) | SMCR Software | Worksmart

Posted by Julie Pardy on March 11, 2019

What Can you and your firm do now?

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SM&CR Implementation Tasks (Part 3) | SMCR Software | Worksmart

Posted by Julie Pardy on March 11, 2019

What Can you and your firm do now?

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SM&CR Implementation Tasks (Part 2) | SMCR Software | Worksmart

Posted by Julie Pardy on March 11, 2019

What Can you and your firm do now?

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SM&CR Implementation Tasks (Part 1) | SMCR Software | Worksmart

Posted by Julie Pardy on March 11, 2019

What can you and your firm do now?

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SM&CR Project tasks & useful tips (Part 3) | Worksmart

Posted by Julie Pardy on March 11, 2019

This blog seeks to help you plan your project for the implementation of the Senior Managers and Certification Regime.

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SM&CR Project tasks & useful tips (Part 2) | Worksmart

Posted by Julie Pardy on March 11, 2019

This blog seeks to help you plan your project for the implementation of the Senior Managers and Certification Regime.

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SM&CR - Project Tasks & Useful Tips Part One - Resourcing your project

Posted by Julie Pardy on March 11, 2019

 

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How Fit For Purpose Are Your T&C Arrangements? (Part 2) | Worksmart

Posted by Julie Pardy on February 5, 2019

Training & Competence (T&C) has been a regulatory requirement of the Financial Conduct Authority (FCA) since the late 1990’s.  As such, it doesn’t grab the headlines the way more recent regulation, such as MIFID II Knowledge and Competence, Insurance Distribution Directive and Senior Managers & Certification Regime have. However, these newer regimes all have the same underlying theme, that being key staff have, and evidence, the knowledge and competence necessary for them to fulfil their jobs effectively. As a result, activities like regular performance reviews, ‘on the job’ observations, programmes of continuing professional development (CPD) and robust record keeping supported by effective monitoring have never been more relevant. Therefore, whilst not necessarily grabbing the headlines, never have the principles and underlying activities of T&C been more relevant.

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SM&CR - Timelines & Component Parts (Solo Regulated) | Worksmart

Posted by Julie Pardy on February 1, 2019

This Blog seeks to introduce you to planning for the implementation of the Senior Managers and Certification Regime (SM&CR) and is a continuation of the last Blog where we looked at this subject with regard to Insurers.  The purpose of this blog is to discuss the timings for implementation that affect Solo Regulated Firms and to give you some tips on preparing for implementation.

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Five key questions you need to answer for yourself in readiness for the SM&CR regulation:

  • Do you understand the full implications of the new regime?
  • Have you considered the impact of the regime on your business and your staff?
  • Do you understand the impacts of embedding the regime into business as usual?
  • Does your organisation appreciate the value of future proofing your systems and processes?
  • Are  you confident in your existing systems and processes to deliver SM&CR compliance?

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