Senior Managers & Certification Regime: What you need to know

Date
Time
On Demand
Location

Your desk!

Type
Webcast

The extension of the FCA’s Senior Managers and Certification Regime (SM&CR) to all solo-regulated firms comes into force on 9 December 2019. With less than a year until enforcement, the SM&CR is the next big regulatory challenge for financial firms in the UK firms, now is the time to start developing a clear implementation plan.

Our subject matter experts will examine the key steps that your firm will need to take to comply with the new standards.

Discussion topics:

  • Will SM&CR require changes to the way my firm is managed?
  • How should we allocate the Prescribed Responsibilities between our Senior Managers?
  • What needs to be included in a Statement of Responsibility?
  • What are the key steps to Certifying relevant staff?
  • How will I train my staff in the new Conduct Rules?