FCA guidance on implementing the Certification regime and Conduct Rules

The FCA advised the APCC on the 20th October that they feel there are firms that are not ready to meet the requirements of SMCR and have not implemented as fully as the FCA would expect at this stage. This is even with the delay to the requirements for certification and conduct rules training for all other staff being extended to March 2021.



The FCA want to ensure all firms are getting the advice and support that they need to ensure they are meeting the requirements or certainly on track to do so. That is why they have produced their latest explainer video. You can view the view on their website by following the link below.

The video gives a short overview of what firms need to do to implement the Certification Regime and the Conduct Rules ahead of the deadline on 31 March 2021.

There is plenty of work to be done so make sure that you do not estimate the work that needs to be done. Especially while businesses and staff members are adjusting to new working environments and processes.


 Implementing the Certification Regime and Conduct Rules


Contact us today if you have any questions or would like to discuss your firms preparations.

Stuart Bull

Marketing Manager