Applying the SMCR to out-of-scope firms

Investment firms that are not yet subject to the Senior Managers and Certification Regime should be arming themselves ahead of HM Treasury’s promised extension of the scheme. Julian Sampson provides reconnaissance.

Julian Sampson (julian@fulcrumcompliance.com) is director of Fulcrum Compliance (www.fulcrumcompliance.com) and was chair of the Chartered Institute for Securities and Investment compliance professional forum from 2009-2015. He presents a half-day course ‘SMCR – A guide for firms not yet in scope’ for Goodacre UK Ltd, details of which can be found on their website (www.goodacreuk.com).

Men of a certain age will be familiar with the scene.