Senior Managers & Certification Regime (SM&CR)
The SMCR Working Group will understand and address the current issues with the extension of the Senior Managers & Certification Regime (SM&CR) to all regulated firms.
Graham Bateman, Regulation Executive leads on this work at TISA.
Areas of focus
The group has established 4 sub-groups to the main SM&CR Working Group to allow a broad input of SME knowledge in the following areas:
- Individuals / HR (chaired by Anthony Epstein, Independent)
- Senior Managers (chaired by Katharine Harle, Dentons LLP)
- Firms (chaired by Katharine Harle, Dentons LLP)
- Ownership (chaired by Will Baker, Sopra Steria)
The focus is to produce good practice, guides and useful information in relation to specific areas of the regime which came into effect on 9 December 2019 where guidance has not been provided by FCA or firms would benefit from additional information to aid implementation and embedding.
Firms who are members of/participating
Chair/Co-Chair: Katharine Harle, Dentons LLP and Charlotte Henry, Norton Rose Fulbright
Deputy Chair: Emma MacDowell, Jupiter Asset Management
Ascentric
Blackrock IM (UK) Limited
BNY Mellon
BP & E Global Ltd
Computershare Investor Services plc
Dentons UKMEA LLP
Duff & Phelps
Engage Insight Ltd
Equiniti
FNZ
Hargreaves Lansdown
Intrinsic Financial Services
Invesco
Investec Asset Management
Jupiter Asset Management
KPMG
Northern Trust
Norton Rose Fulbright
Orbis Investments (U.K.) Limited
Parmenion Capital Partners LLP
Peter Bloxham
Praemium (UK) Ltd
Principal Global Investors (Europe) Ltd
PSigma IM Limited
RBC Investor & Treasury Services
SS&C DST
Sanlam Financial Services UK Ltd
St. James’s Place Wealth Management
Standard Life Plc
T.Rowe Price
TCC
Walbrook Partners
Willis Towers Watson
Zurich UK Life
If you are a TISA member, and would like to get involved with the SM&CR work, please get in touch at engagement@tisa.uk.com