Regulatory issues

We have been at the forefront of advising clients on the Senior Managers Certification Regime (SMCR) and the related aspects of employment.
We can help firms with:

  • responsibility mapping and statements of responsibility;
  • issues arising from the annual certification of individuals’ fitness and propriety;
  • guiding your business through disciplinary investigations that impact on fitness and propriety and reporting requirements, including the giving of regulatory references, and;
  • advising on what you can and cannot agree to do in settlement agreements.