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SMCR & Employee Regulations

Richdale’s experienced and personable team is on-hand to assist with the entire structure and maintenance of your contractual obligations as an employer, as well as other contractual relationships such as with appointed representatives, introducers, locums and other professionals. These contracts not only make business sense but are regulatory compliance requirements of the FCA.

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Our team are delighted to offer an impartial consultation on your compliance requirements, with no obligation to sign up to any of our services.

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We will advise you on and ensure the setup and upkeep of SMCR related documentation and responsibilities. Applicable staff will receive training and testing on the Conduct Rules, and what is expected of them in this regard.

Employee Data

Our compliance experts will help you to ensure your company holds the necessary data on your staff and other important stakeholders. This includes appropriate fit and proper test information, used as a benchmark to assess whether professionals are suitable to undertake controlled functions within your company.

We will help ensure every employee has agreed to and signed declarations appropriate to their work roles and your company procedures.

Furthermore, we can help start-up employers meet their obligations by starting on the correct footing. Our draft contractual templates can be supplied upon request.

Please note that the support Richdale provide is limited to regulatory support and should not be taken as an alternative to legal or HR advice.

Continuing Professional Development (CPD)

What is CPD?

Continuing Professional Development (CPD) is the term used to describe the process of learning and developing your abilities, knowledge and skills whilst you work. This shows colleagues, clients and the regulator that you are committed to upholding the regulations, conduct and competency required within the financial services sector. It is essential to stay updated with changes in industry standards, compliance and regulations. It is also beneficial to increase knowledge and enhance existing skills.

Richdale are able to help you and your employees maintain their CPD requirements. Besides assisting in monitoring your CPD progress throughout the year, we also offer a free subscription to all off your staff to the Richdale proprietary CPD software, providing online training courses creating an easy path to CPD compliance. The Richdale training courses are uniquely designed and updated to help ensure that your studies are relevant and of interest to the financial services professional.

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