Senior Management and Certification Regime – SM&CR

The Senior Managers and Certification Regime (SM&CR) came into force on 9 December 2019 for firms such as ours who are authorised and regulated by the Financial Conduct Authority which has replaced the Approved Persons Regime. From this date, as an example, individuals who previously held a CF30 are now known as Certified Persons (if appropriate). These individuals will no longer be listed on the Financial Conduct Authority (FCA) Register. They will instead be listed in the new FCA directory which will go live towards the end of this year.

 

Halkin Investments Holdings Limited continues to internally assess all Relationship Manager and Investments Managers to ensure they are appropriately qualified and competent of advising/ making decisions on behalf of clients.

 

Halkin Investments proudly supports the Continuous Professional Development (“CPD”) of our staff to ensure they are appropriately qualified and competent with the relevant knowledge to carry out their role diligently.

 

If you have any questions about SM&CR, please visit the FCA website or alternatively contact firm via the contact us page.