Acuiti Regulation Briefing: The Senior Manager and Certification Regime for Derivatives Professionals

in partnership with Acuiti.io


Thousands gear up for the SMCR expansion

This Regulatory Briefing provides a practical guide aimed at firms operations in the derivatives market, showing how the SMCR will directly impact FCA regulated firms and their people and processes.

It will also help firms by setting-down some pragmatic steps that can be taken now, in preparation for the extension of the SMCR later this year.

This briefing outlines all findings regarding the preparedness of members of the Acuiti network for these regulatory changes.

Specifically:

  • The Senior Managers’ Regime

  • The Certification Regime

  • The new FCA Code of Conduct

  • Training requirements

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