Wed, Mar 13, 2019

Mark Turner Featured in FT Adviser: Guide to Preparing for SMCR

Mark Turner, Managing Director in the Compliance and Regulatory Consulting practice at Duff & Phelps, has been featured in the FT Adviser as part of a guide to the upcoming Senior Managers and Certification Regime (SMCR). Mark provides insights into this regulation, the potential challenges it poses to financial services firms and how firms and individuals can prepare for it.

“Firms will need to ensure that their culture and the tone from the top support the objectives of the regime, enabling both firms and their employees at all levels to enter this regime with confidence. To avoid the risk of not meeting the expectations under SMCR, firms should review their terms and conditions structure well before implementation to bring all relevant staff into this,” Mark said.

Read the full article here.