SM&CR tops experts’ predictions as the 2019 regulatory issue for brokers


The Senior Managers and Certification Regime (SM&CR) change coming in on 9 December 2019 has topped the list of a straw poll of compliance specialists on the biggest regulatory issue for brokers this year.

It was the only topic flagged by every expert when asked for their top three.

The Financial Conduct Authority (FCA) has previously described SM&CR as delivering “clear standards” for the conduct that it will expect from all financial services staff and that these standards were central to

Only users who have a paid subscription or are part of a corporate subscription are able to print or copy content.

To access these options, along with all other subscription benefits, please contact [email protected].

You are currently unable to copy this content. Please contact [email protected] to find out more.

To continue reading...

You need to sign in to use this feature. If you don’t have an Insurance Age account, please register now.

Sign in
You are currently on corporate access.

To use this feature you will need an individual account. If you have one already please sign in.

Sign in.

Alternatively you can request an indvidual account here: