Senior Managers & Certification Regime (SM&CR)

SM&CR Working Group

Purpose

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.

Jeffrey Mushens, Technical Policy Director leads on this work at TISA

Participating member firms

Chair: Katharine Harle, Dentons LLP

Deputy Chair: Arup Sen, Norton Rose Fulbright

Ascentric

Aviva Plc

Blackrock IM (UK) Limited

BNY Mellon

Brewin Dolphin Ltd

Dentons

Duff & Phelps

Equiniti

FNZ

Hargreaves Lansdown

Invesco

Jupiter Asset Management

LV=

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

SS&C

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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