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Six months to go – SMCR takes effect for FCA-regulated firms

Taylor Wessing


There are just six months to go until the new Senior Managers and Certification Regime takes effect for UK Financial Conduct Authority (FCA) regulated firms. With the potential for serious regulatory sanctions at stake, firms are advised to begin preparing now. But what is the new regime and what is it aiming to achieve? In this webinar, financial regulatory experts and employment law experts from Taylor Wessing set out the core principles that comprise the new regime, along with advice on what firms should be doing to prepare. Join us as we discuss:

  • The key components of the new regime
  • The main areas of focus for 'core' and 'limited scope' firms
  • A look at recent regulator commentary on the subject


Charlotte Hill
Charlotte Hill is a partner and heads the financial services and competition group in London. She advises on EU directives and regulations that affect financial services institutions, as well as the rules and regulations of the FCA and the Prudential Regulation Authority. Her clients range from large multinational conglomerates to specialist boutiques, including banks, payment services providers, investment and asset managers, brokers and other participants in the financial markets. She also advises non-financial institutions on the effect of financial services legislation upon them.

Colin Godfrey
Colin Godfrey is an employment law specialist in the employment, pensions and mobility group. He advises employers and employees on a wide spectrum of contentious and non-contentious employment law in the United Kingdom. His work regularly involves assisting clients in handling workplace conflicts and guiding clients on discrimination and whistleblowing legislation. He is experienced in helping clients to comply with the Transfer of Undertakings (Protection of Employment) Regulations, the management of redundancy and restructuring exercises and changing terms and conditions of employment. He also regularly assists with international and cross-border employment issues.

Arup Sen
Arup Sen is a professional support lawyer in the financial services and competition team, specialising in matters related to FCA authorisation, regulatory investigations and ongoing compliance with the financial services regulatory regime in the United Kingdom and Europe. He has acted for funds, financial services professionals, financial institutions and cryptocurrency issuers regarding regulatory issues in the United Kingdom and Europe.


Charlotte Hill
Colin Godfrey
Arup Sen


30 May 2019
15:00 - 15:55 UTC
55 min