In our continual effort to help assist financial services firms with their on-going regulatory requirements, Complyport recently hosted a free webinar on the Senior Managers and Certification Regime (“SM&CR”) with Fieldfisher. We were thrilled when almost 300 individuals from different firms joined us on 10th October 2019 to listen to Robert Irvine (Senior consultant, Complyport) and David Palmer (Senior associate, Fieldfisher) look at and discuss common implementation issues associated with the SM&CR.
Complyport is happy to announce that we have now uploaded the webinar for everyone to listen to and learn from. You can find the recording of our SM&CR webinar below.
In the webinar, we made mention of some ‘free SM&CR giveaways’ to those listening to the webinar. These are now available to anyone who wants them. Please email Jonathan Greenstein on firstname.lastname@example.org and we will be happy to send them to you.
How can Complyport help with SM&CR?
Being a specialist financial services governance, risk and compliance consultancy, Complyport is geared up to help with your SM&CR implementation today. We can provide readiness audits, advice on implementation, training, a suite of online tools to assist with SM&CR and financial services compliance and documentation. We have put together a suite of SM&CR documents that includes:
- Individual Statement of Responsibilities;
- Certification of Competence;
- Regulatory References;
- Fit and Proper Assessment;
- New Employee take-on;
- Statement of Responsibilities Map;
- Compliance Manual insert;
- Compliance Monitoring Programme insert;
- List of Prescribed Responsibilities;
- List of Conduct Rules Staff; and
- List of Certification Staff and Supporting Evidence.
If you would like to discuss the ways that Complyport can help your SM&CR implementation or on-going maintenance, please email Jonathan Greenstein (email above) outlining your need.