The Personal Investment Management & Financial Advice Association (PIMFA)

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Senior Managers Certification Regime (SMCR)

SMCR (Senior Managers and Certification Regime) ensures accountability, clarifies roles, and enhances individual responsibility within financial services firms.

Visit the Senior Managers Certification Regime (SMCR) dedicated microsite on this topic

Journal #28

Shared Type: Shared Public
Published: September 25, 2025

PIMFA Journal Edition #31

Shared Type: Shared Public
Published: September 25, 2025

PIMFA Response to the Financial Services Strategy Sector: Regulatory Cross-Cutting Reforms (Leeds Reforms)

Paper Type: PIMFA Response Papers
Recipients: HM Treasury
Month Published: September 9, 2025
In this practical and insightful session delivered by the co-founder of the Non-Executive Directors’ Association (‘NEDA’), we demystify the responsibilities, liabilities, and rewards of becoming a NED and provide a…
£300.00 – £400.00
Date & Time: 15th Jan 2026 (9:30) - 15th Jan 2026 (12:30)
CPD: 3 Location: Virtual

PIMFA Guidance – The Senior Managers and Certification Regime

Shared Type: Shared
Published: July 2, 2025
Following from the HUGE success of the PIMFA Women’s Symposium 2025, we are delighted to announce details of the 2026 event. …
£350.00 – £1,100.00
Date & Time: 19th May 2026 (8:00) - 20th May 2026 (17:00)
CPD: 3 Location: London excel
The CRO Forum is a high-level discussion group, formed and attended by senior professional risk managers from participating PIMFA member...

The Year That Was To Come: KPMG’s Regulatory Reflections and Predictions

In this podcast, Philip Deeks, Head of KPMG’s Regulatory Insight Centre, shares how PIMFA member firms can snatch victory from...
13/02/2025
PIMFA has the pleasure to announce that the date has now been set for the upcoming PIMFA Senior Leadership Summit 2025. The event is open to senior member firm colleagues,…
Date & Time: 26th Nov 2025 (12:00) - 26th Nov 2025 (19:00)
CPD: 3 Location: IET London
Hear from leading industry experts on the key issues facing compliance professionals in the investment management and financial advice world. Bringing together a high-level audience who can engage with the…
£275.00 – £630.00
Date & Time: 25th Sep 2025 (8:30) - 25th Sep 2025 (18:00)
CPD: 6 Location: Hybrid

PIMFA response to FCA PRA DP23/3: Review of the Senior Managers and Certification Regime

Paper Type: PIMFA Discussion Papers
Recipients: Financial Conduct Authority (FCA)
Month Published: May 31, 2023

PIMFA response to HMT Senior Managers & Certification Regime: Call for Evidence

Paper Type: PIMFA Response Papers
Recipients: HM Treasury
Month Published: May 31, 2023

PIMFA’s response to FCA; DP 21/4: Sustainability Disclosure Requirements (SDR) and investment labels

Paper Type: PIMFA Discussion Papers
Recipients: Financial Conduct Authority (FCA)
Month Published: January 14, 2022

Building an effective compliance program

In this podcast episode we speak with Jason Cropper, Global Head of Commercial, GRC at PIMFA associate member firm Mitratech,...
02/12/2019

PIMFA’s response to FCA: GC18/4 Senior Managers and Certification Regime: Proposed guidance on statements of responsibilities and responsibilities maps for FCA firms

Paper Type: PIMFA Response Papers
Recipients: Financial Conduct Authority (FCA)
Month Published: December 5, 2018
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