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.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
Senior Managers and Certification Regime reforms – Macfarlanes
UK Government and regulators announce reforms to the Senior Managers and Certification Regime, David Mendel, Amy Rentell, Emily Smith
Moves made to radically streamline the Senior Managers & Certification Regime – BDBF LLP
The Senior Managers Regime and the quest for growth
Overview of the Consultations on the Future of the Senior Managers and Certification Regime
Management review: proposed overhaul of the SMCR | Travers Smith
FCA, PRA and HM Treasury Consult on SMCR Reform | Insights | Ropes & Gray LLP
SMCR Reform: What Housing Associations Need to Know, Alice Overton
HMT, PRA and FCA propose to “radically streamline” the Senior Managers and Certification Regime
FAQs on proposed reforms to the UK senior managers and certification regime | Insights | Mayer Brown
Key takeaways: July 2025 SM&CR reform proposals | DLA Piper
Streamlining the SMCR: unpacking the Leeds reforms
UK SMCR overhaul: understanding the FCA, PRA and HM Treasury’s proposals for reform – A&O Shearman