The Senior Managers and Certification Regime for Investment Firms

The Senior Managers and Certification Regime for Investment Firms

In this video, Stephen briefs us on UK's Senior Managers and Certification Regime, or “SMCR”, He runs through the background and genesis of the new rules, as well as key aspects of the new regimes and the Conduct Rules which now impact most of those working at investment firms. He finishes by speaking briefly about regulatory enforcement actions that the FCA has taken.

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