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Informa

26 - 27 September
Radisson Blu Portman Hotel,
London

Extending the Senior Managers & Certification Regime

Essential Updates and Guidance from the FCA

Embedding the SM&CR and Managing Employee Competence with Wider Regulatory Responsibilities.

Benefit From Attending this Timely and Concise Industry Conference....

Take Away Key Messages Direct from the FCA
  • What do the Final Rules Say? 
  • Implementing the Rules 
  • Proportionality
  • Transitioning and Grandfathering 
  • Ongoing Regulatory Supervision   
Get to Grips with the Main Components of the SM&CR
  • Identifying your Senior Managers 
  • Allocating Senior Management functions and responsibilities
  • Implementing the Certification Regime
  • Drafting Statements of Responsibility 
  • Applying the FCA’s Conduct Rules
Assess the Impact of the SM&CR on Your Firm
  • Interpreting SMCR in your business
  • HR implications 
  • Organisational impact of the SM&CR
  • Systems and processes to Support Compliance 
  • Training 



Also Attend the Unique Post Conference Workshop

A Practical Workshop Addressing the Following Thorny Areas...
  • Developing internal system 
  • Making responsibilities clear in job descriptions
  • Educating the business on how employees will be affected
  • How the regulation will affect NEDs
  • Senior hiring
  • Conduct breaches
  • Monitoring and ongoing review of the regulations’ impact

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