SM&CR is a cultural wake-up call for the investment industry
New regulation comes into effect in December
Linda Gibson of Pershing
With less than six months to go until the implementation of the Senior Managers and Certification Regime (SM&CR), most investment firms are underprepared for what the regulation will demand of them.
The regime's implementation signals the transition to a supervised culture of good governance that will, for the first time, go much deeper than the roles and responsibilities of a select few senior managers....
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