FCA Proposals for the SMCR Regime - Round 2: Thoughts for Private Fund Managers
Wednesday, November 4, 2026 · first reported by Goodwin via JD Supra
The UK Financial Conduct Authority (FCA) has put out a second set of proposed changes to the Senior Managers and Certification Regime (SMCR). They are set out in consultation paper CP26/37, titled Senior Managers & Certification Regime Review: Phase 2. Goodwin describes this round as more substantial than the first round of changes, which it covered in an earlier alert. Goodwin's commentary looks at what the proposals mean for private fund managers.
- Asset class
- Private equity, Credit, Hedge funds, Real estate, Infrastructure, Secondaries, GP stakes
- Geography
- Europe
The summary and fields above are extracted from the published reports and can contain errors. The linked articles are the source of record.
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Coverage
1 source- The CFTC Cleared Perpetual Futures on Individual U.S. Stocks to Trade on Registered Exchanges for the First TimeHedgeCo
- SEC Division of Examinations Announces 2027 Exam Priorities: A Focus on Conflicts, Emerging Technologies, and Complex ProductsMorrison & Foerster LLP via JD Supra
- SEC Classifies More Funds, Advisers As 'Small Entities'Law360
- SEC Adopts Amendments to Update Definitions of Small Entity for Investment Companies and Investment AdvisersSEC Press Releases
- California’s New Healthcare Transaction Regulations Clarify Filing Requirements for PE Funds, Hedge Funds and MSOsMcGuireWoods LLP via JD Supra
- UK FCA Findings On Conflicts Of Interest And Fair Customer Treatment In Private MarketsA&O Shearman via JD Supra
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