Senior Managers and Certification Regime: Top Tips for Implementation and Key Priorities for 2021

Watch the presentation >>  |  View the presentation >>

Wednesday, March 17, 2021
02:00 PM - 03:00 PM Greenwich Mean Time
10:00 AM - 11:00 AM Eastern Daylight Time

The Senior Managers and Certification Regime (SMCR) was originally extended to solo-regulated firms to achieve full implementation by 9 December 2020. However, the onset of the coronavirus (COVID-19) pandemic led to widespread business disruption. As such, the Financial Conduct Authority (FCA) has taken a series of steps to give firms much-needed flexibility to manage their COVID-19 response plans. Firms now have until 31 March 2021 to implement all outstanding elements of the regime.

Join us for a webinar discussing the enforcement, regulatory, and employment legal considerations as the deadline approaches, and issues to monitor for the remainder of 2021.


  • The temporary changes to SMCR in light of the pandemic, including latest announcements, and FCA/PRA expectations on returning to normal operations
  • Good and poor practices in relation to Conduct Rules training
  • Risk management, looking at: (i) key areas of concern for the FCA in terms of conduct; (ii) health and safety claims; and (iii) handling requests to remote work abroad
  • Practical issues arising from the pandemic, such as working from home, conducting investigations remotely, implementing effective staff training, and maintaining "good culture"

Questions: Please email Alison Campbell.

Prepare for the impact of global events on our Navigating the NEXT. resource page >