Cookies on our website

We use cookies on our website. To learn more about cookies, how we use them on our site and how to change your cookie settings please view our cookie policy. By continuing to use this site without changing your settings you consent to our use of cookies in accordance with our cookie policy.

Read more Close
Skip Ribbon Commands
Skip to main content
Sign In

Senior Managers and Certification Regime microsite launched

On 7 March 2016, the new Senior Managers and Certification Regime came into force for banks, building societies and PRA investment firms. All other authorised firms (i.e. asset and fund managers, and broker-dealers) can expect that the new regime will apply to them from some point in 2018.  

​Banks, building societies and PRA investment firms

We have advised a number of firms on the implementation
of the new regime, and are continuing to advise firms on a number of issues arising out of the new regime post-implementation.

For example, fitness and propriety assessments, Conduct Rule breaches, notification requirements, regulatory references, pre-employment checks and training – for
Senior Managers and Certified Persons, as well as for HR, Employment, Legal and Compliance teams.

For more information, please click the tab labelled ‘Banks and building societies’ above.

​Asset and fund managers, and broker-dealers

Even before the FCA starts to consult on what the new regime will look like for these kinds of firms, there is plenty that asset and fund managers, as well as broker-dealers, can be doing to prepare for the new regime. 

Given our considerable experience accumulated from advising banks and building societies in relation to the new regime, asset and fund managers, as well as certain broker-dealers, are turning to us for advice about what they should be doing to best position themselves for the roll-out of the new regime to their firms, which is due to take place in 2018.

For more information, please click the tab labelled ‘Asset and fund managers’ above.

We hope that you find the information set out on this microsite useful. If you have any further questions or would like to discuss what assistance we can provide to you and your firm, please do not hesitate to contact a member of Allen & Overy’s Senior Managers and Certification Regime Working Group (listed to the right of this page) or email SMCR_Enquiries@allenovery.com.

 Key contacts

Contentious regulatory

Calum Burnett
Calum Burnett
Partner
United Kingdom
Telephone icon+44 20 3088 3736
Send email
View officeView profile
Arnondo Chakrabarti
Arnondo Chakrabarti
Partner
United Kingdom
Telephone icon+44 20 3088 4424
Send email
View officeView profile
Philip Annett
Philip Annett
Counsel
United Kingdom
Telephone icon+44 20 3088 2035
Send email
View officeView profile
Sarah Hitchins
Sarah Hitchins
Senior Associate
United Kingdom
Telephone icon+44 20 3088 3948
Send email
View officeView profile
Employment

Mark Mansell
Mark Mansell
Partner
United Kingdom
Telephone icon+44 20 3088 3663
Send email
View officeView profile
Sarah Henchoz
Sarah Henchoz
Partner
United Kingdom
Telephone icon+44 20 3088 4810
Send email
View officeView profile
Louise Skinner
Louise Skinner
Counsel
United Kingdom
Telephone icon+44 203 088 2083
Send email
View officeView profile
David Cummings
David Cummings
Senior Associate
United Kingdom
Telephone icon+44 203 088 4427
Send email
View officeView profile
Robbie Sinclair
Robbie Sinclair
Senior Associate
United Kingdom
Telephone icon+44 203 088 4168
Send email
View officeView profile
Regulatory

Damian Carolan
Damian Carolan
Partner
United Kingdom
Telephone icon+44 20 3088 2495
Send email
View officeView profile
Etay Katz
Etay Katz
Partner
United Kingdom
Telephone icon+44 20 3088 3823
Send email
View officeView profile
Asset and fund management
 
Matt Huggett
Matt Huggett
Partner
United Kingdom
Telephone icon+44 20 3088 4929
Send email
View officeView profile
Tamara Cizeika
Tamara Cizeika
Counsel
United Kingdom
Telephone icon+44 203 088 2329
Send email
View officeView profile



  • Add comment (optional)