Senior Managers & Certification Regime (SM&CR)

SM&CR Working Group


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. 

Areas of focus

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.

Lisa Laybourn, Head of Technical Policy and Regulation leads on this work at TISA

Participating member firms

Chair: Katharine Harle, Dentons LLP

Deputy Chair: Arup Sen, Norton Rose Fulbright


Aviva Plc

Blackrock IM (UK) Limited

BNY Mellon

Brewin Dolphin Ltd


Duff & Phelps



Hargreaves Lansdown


Jupiter Asset Management


Model Office

Ninety One UK

Northern Trust

Norton Rose Fulbright

Optima Consulting Partners Limited

Orbis Investments (U.K.) Limited

Parmenion Capital Partners LLP

Peter Bloxham

Pinsent Masons

Platform Securities

Praemium (UK) Ltd

Punter Southall Wealth Limited

RBC Investor & Treasury Services

Rigg Wright Associates Inc Ltd

Sanlam Financial Services UK Ltd

Seven Investment Management

Smith & Williamson Investment Services Ltd


St. James’s Place Wealth Management

Taylor Wessing

Walbrook Partners

Willis Towers Watson

Worksmart Limited

Senior Managers & Certification Regime (SM&CR) Home

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If you are a TISA member, and would like to get involved with the SM&CR work, please get in touch

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