The Senior Managers and Certification Regime (SMCR) affects a broad range of types of firm authorised and regulated by the FCA, such as Banks, Brokers, Asset Managers, Consumer Credit Firms, Corporate Finance Firms, Wealth Managers, Consumer Credit Firms and Insurance Firms.
OSS can design and implement your SMCR Framework as well as review your existing framework, policies, procedures and documentation and provide feedback on where improvements are required.
Specifically we will design and implement or review the following areas of SMCR for your firm:
FINDINGS FROM AN FCA REVIEW As part of their wider financial-crime supervisory work, the Financial Conduct Authority (FCA), have set forth their findings following a
Do you need help with compliance? Get in touch to discuss how we can support your business.