Compliance firm Apricity has launched a new service to help advisory businesses prepare for the upcoming Senior Managers & Certification Regime (SM&CR) 9th December deadline.
The SM&CR Implementation Day service will see Apricity professionals spend a day in a firm, helping senior management to fully prepare and implement the new regulatory changes into their business.
Apricity says the implementation days are designed to ensure that everyone in the team, from senior managers through to HR departments, “are left with a clear understanding of the new regulatory rules and their individual responsibilities” and will leave the firm with “a clear action plan of any final points prior to the 9th December.”
The service can work alongside internal compliance teams to ensure internal processes are properly implemented.
The key points covered by the service are:
- Ensuring senior managers understand their new responsibilities.
- Help with FCA Connect submissions.
- Providing Conduct Rules training.
- Help HR create new policies and provide you with the necessary documentation.
- Help with criminal record checks (additional charges apply).
Apricity is offering the service between 9th September and 9th December 2019.
