Navigating the SM&CR can seem a daunting and arduous task. It impacts tens of thousands of firms nationwide, affecting their processes, culture and governance structures.

And although the major deadlines for compliance have now come and gone, there is still plenty of work to be done and an ongoing journey to embark on.

To assist in this, we have put together a comprehensive document of practical considerations for Core- and Enhanced-tier firms to guide them through the post-implementation period and towards continued compliance. This includes:

• Detailed overviews of the Senior Managers Regime, the Certification Regime and Conduct Rules
• Self-assessment questions to measure the effectiveness of your implementation
• Tips for evidencing good governance and logical decision-making
• Defining ‘reasonable steps’, and other key and documentation
• Creating a conduct culture and talent development strategy

Download this newly updated guide to SM&CR and ensure that your firm is on the right track for success.