SM&CR – The Apricity way

In a landscape where the profession faces countless regulation changes, we believe that simple and practical advice is crucial to help support firms to stay informed and ahead of the game.

The Senior Managers and Certification Regime (SM&CR) is due to come into force in less than 6 months – so, ahead of the December deadline, we have launched a dedicated SM&CR resources area, which brings together a number of different initiatives we have created to help firms prepare.

The resources offer a variety of support to advisers, no matter where they are up to in their own preparations for the regulatory changes – ranging from workshops, bespoke implementation days, webinars and handy timeline checklists.


We have hosted a number of interactive workshops focused on SM&CR as part of our MASTER series – where delegates receive practical training that they can take away with them and implement into their office. Our SM&CR events have received excellent feedback so far, and delegates have left each session with clear tangible action plans to take back to their firms and apply.

The half-day workshops are hosted by our Compliance Support Manager, Paul Taylor, who has worked in financial services for over 20 years. Having previously worked as a financial adviser, he has been on both sides of the table, giving him plenty of experience of how to deliver an engaging session that advisers will really find useful. We pride ourselves on making our events interactive – so, definitely no death by PowerPoint!  

SM&CR Implementation Days

In our efforts to make life as easy as possible for those in financial services, we have also launched a brand-new service – SM&CR Implementation Days. This is a bespoke service, aimed at firms who want more hands-on support to actually implement the requirements of SM&CR. This includes a full wrap-around package to help firms prepare, an onsite team training session at their offices, development of new templates and procedures, and expert support in creating their Statements of Responsibility to submit to the FCA. For more information about this service, click here download our brochure.