How we help Senior Executives

Regulatory issues

We have been at the forefront of advising clients on the Senior Managers Regime (SMR) 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.