The Senior Managers and Certification Regime replaced the Approved Persons Regime and has increased the standards of personal conduct and put more emphasis on management accountability.

The Senior Managers and Certification Regime has lots of new and additional requirements which you must comply with. Dependent on your category of firm; Enhanced, Core or Limited Scope, you may need the following:

Policies include:

• Management Responsibilities Map
• Statements of Responsibility
• Prescribed Responsibilities
• Fit and Proper Assessments
• Regulatory References
• Senior Management Functions
• DBS Checking
• Certification of Employees
• Conduct Rules Training
• Directory Submissions

If you need help implementing the Senior Managers and Certification Regime, we can assist you with drafting the required documentation, planning your certification process for employees, carrying out fit and proper assessments and, providing the necessary staff training.

If you already have your regime in place, we can also assist with the annual assessments that you must undertake.