"I am worried that certain parts of our SMCR response are not robust enough."
We will remove doubt and ensure that you are in control of your SMCR operation.
We use real world scenarios to stress test areas of potential risk and expose any vulnerability.
"I need an SMCR software solution but don't know where to start."
We will quickly find the SMCR solution that best meets your needs now and in the future.
Our modular 5 step process takes you from solution requirements to vendor shortlist and selection.
"I have responsibility for SMCR and feel personally at risk and exposed."
We will be there for you as an objective SMCR expert whenever you need us.
Our coaching and Q&A service is flexible and can be tailored to your precise needs.
"We are spending a lot of money on conduct rules training but I don't know how to measure the benefits."
You will be able to apply tangible measures to show the benefits of your conduct rules training.
Our Conduct Success training course gives you the skills and tools to create an SMCR Culture Scorecard for your firm.
The largest individual penalty imposed under SMCR
The number of firms surveyed who have terminated an individual’s employment as a result of a failure to pass certification*
The number of firms surveyed who said that SMCR had added significant extra workload and required new hires*
The number of smaller firms surveyed (fewer than 500 employees) who had reported a cultural change for the worse as a result of SMCR*
We work with financial services firms of all sizes to help them respond to SMCR in a way that reflects each firm's unique circumstances.
Our services are practical and focused on those areas of SMCR that are most challenging with the goal of reducing risk and uncertainty.
Our work is underpinned by a carefully constructed set of tools and methods that allow our clients to understand where they are in their SMCR journey.
"It is a real pleasure to work with a team that has such a deep understanding of our industry and the challenges we face"
Andy Hunt, Head of Risk and Policy, Wren Sterling
"Very easy to work with, helping us to solve complex regulatory challenges with practical solutions"
Helen Vaughan, COO, J O Hambro Capital Management