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
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 firstname.lastname@example.org