Enhance your governance, accountability and culture today with our Senior Managers Regime
DOWNLOAD THE BROCHURE >>The Senior Managers & Certification Regime (SM&CR) was introduced to strengthen culture and governance in firms. The regime promotes greater individual accountability and enhanced standards of personal conduct. SM&CR is central to the culture and conduct agenda of the Financial Conduct Authority (FCA) and Prudential Regulation Authority (PRA).
Recently, firms have experienced changes in daily priorities, operations (including remote working), management control and Board oversight. You may have deferred risk governance and internal control processes and activities.
Financial services regulators regularly remind firms about ongoing SM&CR obligations and their expectations of firms and Senior Managers Regime. More needs to be done to further embed SM&CR within organisations and mindsets.
Given the increased focus on individual accountability, Senior Managers must demonstrably exercise proper oversight and meet expectations to manage their own personal regulatory risk.
Our regulatory compliance specialists provide training and help firms assess their SM&CR compliance. We’ll enable you to further strengthen and embed your SM&CR framework.
We support solo-regulated and dual-regulated firms’ need to ensure compliance. We will help you meet the requirements of the Senior Managers and Certification Regime in the following areas:
SM&CR training is an opportunity for firms to embed the right culture. Our regulatory compliance specialists will develop one-off or ongoing SM&CR and Conduct Rules training programmes tailored to your team’s requirements.
Our regulatory compliance consultants at Xcina collaborate with firms to deliver SM&CR advice and achieve the following:
When you become a client, you benefit from Xcina Consulting’s extensive subject matter expertise. We implement leading practices gained from assisting organisations across financial services sectors with their SM&CR requirements.
Our SM&CR compliance specialists have many years’ practical experience on the subject across a range of firm types. They are also at the forefront of the latest developments, regularly conducting industry surveys, providing thought leadership and speaking at industry conferences on the topic.
Our team includes a blend of former Senior Managers, Heads of Compliance and Regulators. They provide pragmatic, value-adding solutions tailored to your specific context, not generic impractical recommendations.
We share our experience with you and provide knowledge transfer as required. With our training, your team will be equipped to use and maintain your SM&CR framework independently going forward.
Access subject matter expertise and advice upon request with our cost-effective solution.
Lindsey and Xcina have assisted us with bespoke SMCR training and reviewed associated documentation. They have also assisted with various ad hoc compliance review requests. We have always found Lindsey to be very helpful and informed on the relevant subject matter. He has always been quick to respond to our requests and has been a pleasure to work with.
Chris Sloan, Director ClucasGray Investment Management UK Limited
Read how our risk management consulting, auditing and assurance services are helping organisations like yours meet their objectives with increased confidence.
Receive regular updates from our expert consultants as they provide clarification and guidance on issues impacting your organisation.
Subscribe >>