Regulated People: Culture and Conduct

Employing people in a regulated world is a complex arena. We recognise that HR, Compliance and Legal need coordinated support so organisations can prepare for and manage the regulatory requirements placed upon their people. 

From specific changes, such as the extension to the senior managers and certification regime (SMCR), through to questions of business culture and conduct risk, we have a suite of tools and information available to help.  Use the tabs below to explore the resources we can offer, or the links on the right to learn more about our services.

Click here to see our flyer for a new regulatory regime for people in Financial Services.


Senior managers and certification regime extension

New financial services regulatory regimeThe Consultation Paper was published on 26 July 2017 with the senior managers and certification regime being extended from 2018. More people working in regulated firms will be directly affected by regulation. Firms will need to revisit how they categorise, train and monitor their people.

Our microsite can help firms prepare now for the proposed extension for all FMSA authorised persons.
Watch our video to find out the implications of the consultation paper

Senior managers and certification regime for banks

New senior managers' regime for banksA practical guide for HR to the senior managers and certification regime which came into force in the UK on 07 March 2016.

Find out more on our microsite

Topical updates

Our webinar series on the extension of the Senior Managers Certification Regime covers a broad range of topics:

  • Response to Consultation papers
  • Identifying Senior Managers and related challenges
  • Identifying Certification staff and related challenges
  • Duty of responsibility in practice
You can access the webinars via elexica our free legal resource.

We also ran a series on Business Protection issues, presented by lawyers from our employment, litigation, corporate and IP practices:

This series responds to the significant increase in the number of disputes and litigation we are seeing arising from the misuse of confidential information by individuals.

You can access the audio and slides for these calls via elexica our free legal resource.

Conduct Risk

Conduct Risk and the desire to improve culture and behaviours in the financial services industry has been at the heart of the regulatory regime for some time. However, many regulated firms and individuals struggle to understand what “Conduct Risk” means and what a good "culture" looks like.

Need help in viewing your business, people and operational risks through the Conduct Risk lens? Our microsite can help.

More resources