Investors, broker-dealers unprepared for new governance rules, survey finds

GLOBALCAPITAL INTERNATIONAL LIMITED, a company

incorporated in England and Wales (company number 15236213),

having its registered office at 4 Bouverie Street, London, UK, EC4Y 8AX

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Investors, broker-dealers unprepared for new governance rules, survey finds

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HMHB9E Office entrance to the Financial Conduct Authority (FCA) in London | Alamy Stock Photo

Not even one in 50 firms are prepared for the date later this year when the UK’s Senior Managers and Certification Regime (SM&CR) will apply to them, according to ACA Compliance Group. This means they have not yet faced up to rules reshaping hiring and governance practices.

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