{"id":2465,"date":"2023-06-27T23:24:46","date_gmt":"2023-06-27T23:24:46","guid":{"rendered":"https:\/\/www.rbcwealthmanagement.com\/en-uk\/?page_id=2465"},"modified":"2026-05-20T15:26:18","modified_gmt":"2026-05-20T15:26:18","slug":"senior-managers-and-certification-regime","status":"publish","type":"page","link":"https:\/\/www.rbcwealthmanagement.com\/en-uk\/senior-managers-and-certification-regime","title":{"rendered":"Senior managers and certification regime"},"content":{"rendered":"\n<div class=\"wp-block-rbcwm-hero-block rbc-hero-wm  rbc-hero-overlap rbc-hero-overlap-mobile rbc-hero-p0mh5rzap hide-mobile-energy-lines\"><style>\n\t\t.rbc-hero-p0mh5rzap.is-style-rbc-hero-gradient::before {\n\t\t\tbackground: linear-gradient(90deg, #023169 20%, rgba(94, 120, 131, 0) 60%);\n\t\t}\n\n\t\t.rbc-hero-p0mh5rzap.is-style-rbc-hero-gradient.rbc-hero-has-image-bleed::before {\n\t\t\tbackground: linear-gradient(90deg, #023169 20%, rgba(94, 120, 131, 0) 60%);\n\t\t}\n\n\t\t.rbc-hero-p0mh5rzap.is-style-rbc-hero-gradient.rbc-hero-has-image-bottom::before {\n\t\t\tbackground: linear-gradient(180deg, #023169 20%, rgba(94, 120, 131, 0) 60%);\n\t\t}\n\n\t\t.rbc-hero-p0mh5rzap .rbc-hero-energy-lines.rbc-hero-energy-lines-left {\n\t\t\ttransform: scaleX(-1);\n\t\t}\n\n\t\t@media (max-width: 991px) {\n\t\t\t.rbc-hero-p0mh5rzap.is-style-rbc-hero-gradient::before,\n\t\t\t.rbc-hero-p0mh5rzap.is-style-rbc-hero-gradient.rbc-hero-has-image-bottom::before,\n\t\t\t.rbc-hero-p0mh5rzap.is-style-rbc-hero-gradient.rbc-hero-has-image-bleed::before {\n\t\t\t\tbackground: none;\n\t\t\t}\n\n\t\t\t.rbc-hero-p0mh5rzap.rbc-hero-has-image-full.hide-mobile-energy-lines .rbc-hero-energy-lines {\n\t\t\t\tdisplay: none;\n\t\t\t}\n\n\t\t\t.wp-block-rbcwm-hero-block.rbc-hero-p0mh5rzap.is-style-rbc-hero-gradient .rbc-hero-img-wrap::after {\n\t\t\t\tbackground: linear-gradient( 0deg, #023169 0%, rgba(94, 120, 131, 0) 25% );\n\t\t\t}\n\t\t\t\n\t\t\t.wp-block-rbcwm-hero-block.rbc-hero-p0mh5rzap.is-style-rbc-hero-gradient.rbc-hero-has-image-bottom .rbc-hero-img-wrap::before,\n            .wp-block-rbcwm-hero-block.rbc-hero-p0mh5rzap.is-style-rbc-hero-gradient.rbc-hero-has-image-bottom .container .rbc-hero-img-wrap::before {\n\t\t\t\tbackground: linear-gradient( 180deg, #023169 0%, rgba( 94, 120, 131, 0 ) 25% );\n\t\t\t}\n\t\t\t\n\t\t\t.wp-block-rbcwm-hero-block.rbc-hero-p0mh5rzap.is-style-rbc-hero-gradient .rbc-hero-card {\n\t\t\t\tbackground: #023169;\n\t\t\t}\n\t\t}\n\t<\/style><div class=\"container\"><div class=\"row no-gutters\"><div class=\"col-lg-12 rbc-hero-card-content\"><div class=\"rbc-card rbc-hero-card rbc-hero has-content\"><div class=\"rbc-card-wrap\"><div class=\"rbc-card-body\"><div class=\"rbc-hero-body-content\"><h1 class=\"rbc-hero-title\"><span>Senior managers and certification regime<\/span><\/h1><div class=\"rbc-hero-breadcrumb link-chev-left\"><div class=\"rbc-icon mr-half\"><i aria-hidden=\"true\" role=\"img\" class=\"rbc-icon-img fal fa-angle-left\" style=\"color:#006ac3\"><\/i><\/div><span style=\"color:#006ac3\"><a href=\"https:\/\/www.rbcwealthmanagement.com\/en-uk\/\" data-type=\"page\" data-id=\"316\">Home<\/a><\/span><\/div><hr class=\"rbc-hero-hr hr-mini bdr-accent\"\/>\n<p><\/p>\n<\/div><\/div><\/div><\/div><\/div><div class=\"rbc-hero-img-wrap undefined\"><\/div><\/div><\/div><\/div>\n\n\n\n<section class=\"wp-block-rbcwm-rbc-block rbc-block rbc-block-grey has-block-grey-background-color has-background\"><div class=\"container\"><div class=\"row \"><div class=\"col-lg-12\">\n<div class=\"row justify-content-between no-gutters blockId-2872b8e1-17c7-4bc6-b99d-18df69a753ec\">\n<div class=\"wp-block-rbcwm-column col-md-8 col-lg-8\"><div class=\"wrap\">\n<p>The Senior Managers and Certification Regime (SMCR) came into force on 9 December 2019 for wealth management firms. From this date, financial advisers (CF30s, now known as Certified Persons) will no longer be listed on the Financial Conduct Authority (FCA) register. All of our Certified Persons are now listed on the FCA Directory.<\/p>\n\n\n\n<p>RBC Brewin Dolphin continues to internally assess all investment managers, financial planners, portfolios managers and paraplanners to ensure they are qualified and capable of advising clients.<\/p>\n\n\n\n<p>RBC Brewin Dolphin continues to provide a rigorous training and development programme for its advisers to ensure they are qualified and capable of providing the best advice for our clients on an ongoing basis.<\/p>\n\n\n\n<p>For more information on SMCR, please visit the&nbsp;<a href=\"https:\/\/www.fca.org.uk\/firms\/senior-managers-certification-regime\" target=\"_blank\" rel=\"noreferrer noopener\">FCA website<\/a>&nbsp;or, if you have any questions or concerns, please contact the relevant&nbsp;<a href=\"https:\/\/www.rbcwealthmanagement.com\/en-uk\/our-offices\" data-type=\"page\">head of office<\/a>. If you are a financial adviser, please contact your business development manager.<\/p>\n<\/div><\/div>\n<\/div>\n<\/div><\/div><\/div><\/section>\n","protected":false},"excerpt":{"rendered":"<p>RBC Brewin Dolphin continues to provide a rigorous training and development programme for its advisers to ensure they are qualified and capable of providing the best advice for our clients on an ongoing basis.<\/p>\n","protected":false},"author":1,"featured_media":0,"parent":0,"menu_order":0,"comment_status":"closed","ping_status":"closed","template":"","meta":{"_acf_changed":false,"editor_notices":[],"rbc_url_alias":"","footnotes":""},"rbcwm_content_owner":[],"class_list":["post-2465","page","type-page","status-publish","hentry"],"acf":[],"yoast_head":"<!-- This site is optimized with the Yoast SEO Premium plugin v27.5 (Yoast SEO v27.6) - https:\/\/yoast.com\/product\/yoast-seo-premium-wordpress\/ -->\n<title>Senior managers and certification regime &#8211; RBC Wealth Management United Kingdom<\/title>\n<meta name=\"description\" content=\"RBC Brewin Dolphin continues to provide a rigorous training and development programme for its advisers to ensure they are qualified and capable of providing the best advice for our clients on an ongoing basis.\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.rbcwealthmanagement.com\/en-uk\/senior-managers-and-certification-regime\" \/>\n<meta property=\"og:locale\" content=\"en_GB\" \/>\n<meta property=\"og:type\" content=\"article\" \/>\n<meta property=\"og:title\" content=\"Senior managers and certification regime &#8211; 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