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Apricity launches resource area for SM&CR

14 July 2019

Apricity Compliance has launched a dedicated Senior Management & Certification Regime resources area to help firms prepare ahead of the FCA’s December deadline.

The new initiative will provide a “variety of support” to advisers, ranging from workshops, implementation days, webinars and timeline checklists.

The SM&CR Implementation days are aimed at firms who want more hands-on support to physically implement the requirements of SM&CR, the Darlington-based firm said. It includes a wrap-around package to help firms prepare, an onsite team training session, development of new templates and procedures and support in creating Statements of Responsibility to submit to the FCA.

Cathi Harrison, founder and owner, Apricity Compliance, said: “We believe in making things easier for our clients. Firms shouldn’t be scared into preparing for the upcoming regulation but instead, encouraged to understand what the changes mean for them with clear, straight talking guidance.”

The SM&CR regime comes into force on 9 December, designed to “reduce harm to consumers and strengthen market integrity” by making senior managers at firms more accountable for their actions.

Apricity has already hosted a series of interactive workshops focused on SM&CR as part of its Master series – where attendees receive practical training. The half-day workshops are hosted by Apricity compliance manager Paul Taylor who previously worked as an adviser.

Harrison added: “The FCA has recently been encouraging firms to start preparing for the new legislation. Although it may seem like a lifetime away right now, these things have a habit of creeping up on us. The process shouldn’t be daunting, we can help ensure that it runs as smoothly as it possibly can.”

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