Your two month plan to SM&CR fitness! Your two month plan to SM&CR fitness!

08 Oct 2020

In this article, our Director of Compliance Services, Mark Greenwood steps on to the metaphorical regulatory treadmill to explain how firms can get ship-shape ahead of the SM&CR 'fit and proper' deadline which is just two months away.  Mark looks at the way in which firms will need to gather evidence to demonstrate their senior managers and certified persons are fit and proper for their role; and that they meet requirements of honesty, integrity and reputation, financial soundness and competence and capability.  He also focusses on the Directory – a new public register that goes live after 9 December, and it will contain details about specific individuals working in financial services. 

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