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Informa

18 - 19 September 2018
Grange Tower Bridge Hotel,
London

Extension of the Senior Managers & Certification Regime

SM&CR Summer Policy Statement Guidance from the FCA in preparation for 2019 Go-Live

Implementing the Extension of SM&CR for Investment Firms and First Phase Lessons Learned from the Banking & Insurance 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 



Plus, Two highly Practical Post-Conference Workshops

Julie Pardy, Worksmart: Employee Competence and the Journey to Certification in Practice

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
Governor Software and Trailight: Becoming SM&CR Compliant

Objectives:

  • SM&CR "War Stories" and key hurdles seen implementing in tier 1&2 banks
  • Adopting first-phase compliance experiences into the asset management industry 
  • Connecting competence and culture 
  • Identifying what is a "Reasonable Steps" Framework 

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