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Informa

18 - 19 September
London

Extension of the Senior Managers & Certification Regime

SM&CR Summer Policy Statement Guidance from the FCA

Implementing the Extension of SM&CR for Investment Firms and Lessons Learned from the Banking Sector

Timely and Concise Industry Conference

Take Away Key Messages Direct from the FCA
  • Overview of Summer Policy Statement 
  • What do the Final Rules Say? 
  • Implementing the Rules
Hear from Industry Speakers in 4 Panels Discussions
  • Investment Firm Panel Session Discussing Implementation So Far
  • Establishing a 'Culture of Accountability'
  • Management Information and Reporting Challenges
  • Banking Panel Session Discussing Lessons Learned and Reasonable Steps 
Benchmark SM&CR Compliance Procedures with Key Presentations
  • Re-Assessing Corporate Governance Arrangements
  • Employee Competence and the Journey to Certification 
  • Complying with SM&CR across International or Complex Group Structures 



Post-Conference Workshop: Employee Competence and the Journey to Certification in Practice

Key Topics
  • Approaches to developing a Certification Regime 
  • Fitness & Propriety and FCA Expectations
  • Certification sign-off processes and MI for Senior Managers 
  • Certification cycles and what happens if an individual cannot be certified 
Who Should Attend
  • Heads of Compliance 
  • Compliance Managers 
  • Regulatory Policy Managers 
  • Risk & Compliance Managers
  • Heads of Training & Education 
  • Heads of Internal Audit 
Objectives
  • Consider what the component parts of the Certification Regime should include
  • Decide approaches to the oversight of those that will fall into Certification
  • Implement a Certification cycle within attendees' organisations
  • Debate approaches to evidencing Fitness & Propriety for Certified Roles

Bronze Sponsors