Home » Corporate Law » UK: FCA guidance on SM&CR Statements of Responsibilities and Responsibilities Maps for solo-regulated firms

UK: FCA guidance on SM&CR Statements of Responsibilities and Responsibilities Maps for solo-regulated firms

www.macfarlanes.com/what-we-think/in-depth/2019/investment-management-update-13-march-2019/#SMCR
www.fca.org.uk/publications/finalised-guidance/fg19-2-smcr-guidance-statements-responsibilities-and-responsibilities-maps

www.bakermckenzie.com/en/insight/publications/2019/04/senior-managers-and-certification-regime
www.shlegal.com/insights/sm-cr-extension-issues-for-solo-regulated-firms-to-consider-as-implementation-date-approaches
www.ukemploymenthub.com/smcr-optimisation-and-final-rules

www.tltsolicitors.com/insights-and-events/insight/does-the-smcr-need-more-teeth-fca-priorities-series-part-2/

Update:
www.jdsupra.com/legalnews/fca-confirms-smcr-optimisations-86045/
hsfnotes.com/fsrandcorpcrime/2019/08/05/fca-publishes-latest-policy-statement-and-near-final-rules-on-smcr/

www.shlegal.com/insights/fca-publishes-final-rules-confirming-amendments-to-the-smcr

www.rpc.co.uk/perspectives/financial-services-regulatory-and-risk/the-senior-managers-and-certification-regime-the-final-countdown/
www.osborneclarke.com/insights/fca-finalises-senior-manager-certification-regime-rules-solo-regulated-firms/

Banking Standards Board publishes guidance on regulatory references

www.natlawreview.com/article/fca-provides-updated-information-smcr-implementation
www.dentons.com/en/insights/alerts/2020/september/21/six-weeks-to-go-frequently-asked-questions-on-the-new-conduct-rules-breaches-report
hsfnotes.com/insurance/2023/04/05/review-of-smcr-launched/#page=1
cms-lawnow.com/en/regzone/articles/2023/04/review-of-the-senior-managers-and-certification-regime-sm-cr
www.ashurst.com/en/news-and-insights/legal-updates/smcr-call-for-evidence-the-reform-that-no-one-wants-and-no-one-asked-for/

See also:
www.jdsupra.com/legalnews/fca-warns-of-significant-weaknesses-in-45280/

www.hoganlovells.com/en/blogs/fision/fca-to-increase-focus-on-smcr-conduct-rules

blogs.dlapiper.com/globalfinance/2019/08/07/fca-publishes-findings-of-senior-managers-and-certification-regime-stocktake-report/
shepwedd.com/knowledge/are-you-smcr-ready-your-10-point-hr-guide-new-senior-managers-and-certification-regime

www.morganlewis.com/pubs/uk-financial-conduct-authority-publishes-final-rules-on-extending-smcr-to-solo-regulated-firms

Click to access smcr—third-mover-advantage—rc.pdf

www.ukemploymenthub.com/update-fca-publishes-further-information-on-the-smcr-for-solo-regulated-firms#page=1
gowlingwlg.com/en/insights-resources/articles/2019/fca-publishes-final-rules-on-extension-of-the-smcr/
www.bclplaw.com/en-GB/insights/senior-manager-accountability-five-steps-to-protect-yourself.html
blog.macfarlanes.com/post/102id8v/pra-takes-enforcement-action-under-the-senior-managers-certification-regime
www.dentons.com/en/insights/articles/2023/april/28/lessons-for-senior-managers-to-learn-from-tsb-it-migration-enforcement-action

Update:
www.finance-disputes.co.uk/2020/08/the-fcas-conduct-rules-the-new-requirement-to-report/#page=1
www.globalfinregblog.com/2020/08/smcr-fca-updates-expectations-on-fitness-and-propriety-assessments-and-conduct-rules-training/#page=1
www.corporatefinancialweeklydigest.com/2020/08/articles/uk-developments/smcr-disciplinary-action-and-conduct-rules-reporting-for-staff-at-fca-regulated-firms/#page=1
www.morton-fraser.com/knowledge-hub/fca-new-guidance
www.hilldickinson.com/insights/articles/senior-managers-and-certification-regime
www.foxwilliams.com/2021/02/10/certification-for-solo-regulated-firms-what-do-you-need-to-do-before-31-march-2021/
www.morganlewis.com/pubs/2021/03/preparing-for-implementation-of-the-senior-managers-and-certification-regime
www.engage.hoganlovells.com/knowledgeservices/news/smcr-directory-of-certified-and-assessed-persons-have-you-submitted-your-data
blog.burges-salmon.com/post/102gzoe/pra-publishes-policy-statement-on-temporary-long-term-absences-under-smcr
blog.burges-salmon.com/post/102hhg5/fcas-clarification-on-smcr-regulatory-references
dwfgroup.com/de-de/news-and-insights/insights/2022/11/consumer-duty-enforcement
www.engage.hoganlovells.com/knowledgeservices/viewContent.action?key=Ec8teaJ9VaoZ3Q729oWMJl7eOOGbnAEFKCLORG72fHz0%2BNbpi2jDfaB8lgiEyY1JAvAvaah9lF3dzoxprWhI6w%3D%3D&nav
brodies.com/insights/family-law/embracing-equity-in-family-law/
www.globalfinregblog.com/2023/03/uk-government-and-regulators-launch-smcr-review/#page=1
rqcgroup.com/latest-insights/stakeholder-views-sought-on-smcr/
legalbriefs.deloitte.com/post/102ibzv/edinburgh-reforms-underway-uk-government-and-the-regulators-commence-their-revie#page=1
www.investmentlawwatch.com/2023/04/europe-heres-your-chance-to-improve-the-uks-senior-managers-certification-regime/#page=1
www.taylorwessing.com/en/insights-and-events/insights/2023/04/review-of-the-senior-managers-and-certification-regime
www.shlegal.com/insights/reform-of-smcr-uk-government-and-regulators-commence-review
www.kingsleynapley.co.uk/insights/blogs/financial-services-blog/non-financial-misconduct-under-the-senior-managers-and-certification-regime
www.morganlewis.com/pubs/2023/04/uk-regulatory-changes-on-the-horizon-fca-pra-treasury-launch-review-of-smcr
www.ashurst.com/en/news-and-insights/legal-updates/will-the-smf-duty-of-responsibility-by-shelved-under-the-current-smcr-review/
blog.burges-salmon.com/post/102idcb/smcr-a-spring-clean
riskandcompliance.freshfields.com/post/102idww/review-of-the-uk-senior-managers-certification-regime-the-increasing-focus-on
quickreads.ext.katten.com/post/102iecr/hmt-and-regulators-move-forward-with-smcr-review
www.kingsleynapley.co.uk/insights/blogs/employment-law-blog/the-senior-managers-certification-regime-smcr-fitness-and-propriety#page=1
www.ashurst.com/en/news-and-insights/legal-updates/smcr-reform-five-important-changes-that-need-to-be-made-to-the-uk-personal-accountability-regime/
Dentons – The Financial Services and Markets Act 2023: The Senior Managers and Certification Regime (SM&CR) – where are we headed?
www.kingsleynapley.co.uk/insights/blogs/criminal-law-blog/regulatory-references-under-smcr-what-you-need-to-know#page=1