Countdown to SMCR: What private equity and investment firms need to know

The FCA has confirmed that the Senior Managers & Certification Regime (SMCR) will be extended to cover all regulated financial firms in mid to late 2019. The new regime will impact nearly all staff within financial services organisations, and firms need to consider how they should be preparing for the change ahead.

Our financial services, regulatory investigation and enforcement and employment teams will be hosting a CPD accredited breakfast seminar looking at the impact of the requirements on the private equity and investment services industry and they can best prepare for this change.

Key areas of focus will include:
    • Limited, Core and Enhanced Firms: How the SMCR applies to different firm types
    • A practical overview of the new regime and how this will affect your business, including:
    – The new Senior Management Functions and prescribed responsibilities
    – The new certification regime and duty of responsibility
    – Enforcement of the Duty of Responsibility and what it means for investment managers and their senior managers
    • Employment law issues
    • Practical issues for consideration by firms planning for the implementation of the new regime, including practical guidance on creating a Project Plan for implementation and how we can help


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