£288 – £360

Preparing for the FCA Senior Managers & Certification Regime 14 March 2019

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London

ETC Venues

51-53 Hatton Garden

London

EC1N 8HN

United Kingdom

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smcr


Preparing for the FCA Senior Managers & Certification Regime

The SMCR is a major new regulatory regime being introduced across financial services. From December 2019 the mass of financial organisations will be covered by the new regime including financial advisers, investment management houses, lenders, mortgage firms, insurance brokers and all non-financial services businesses which offer insurance or consumer credit to their customers. All staff will be affected by the new regime and the new Conduct Rules, meaning almost everyone in financial services has new personal regulatory obligations they need to understand and follow.

This workshop explains the requirements and helps participants consider their planning to introduce the regime. We will learn from the experience of the banks and insurers who have already implemented the regime and look at the risks and opportunities in introducing the regime across your organisation.

Suitable for professionals from Compliance, HR, Learning and Development, Company Secretarial, Legal and other functions responsible for planning and implementing the regime in 2019.

Come along to this best practice workshop run by Enterprise Learning's award-winning team where we will provide guidance on best practice, and provide you with a Best Practice toolkit.

Enterprise Learning is authorised by the CPD Standards Office, so all of our training is licenced to provide CPD hours for relevant professional bodies - attendance certificates will be provided for all participants.

The session will also include a Senior Manager already impacted by the SMCR regime to share their experiences and learnings.


Agenda

  1. What are the learnings from the banks' experience and best practice for implementation?

  2. What are the FCA requirements?

  3. What is needed to fully prepare for SMCR and who should be involved?

  4. How can you create Statements of Responsibility and Responsibility Maps showing senior manager accountabilities?

  5. How will Certification work?

  6. How can your existing controls and approaches be amended for implementation for SMCR?

  7. What will be the impact on HR and other processes (recruitment, referencing, role profiles, training)

  8. How should we use the Conduct Rules to impact culture?

  9. How can we educate and prepare senior managers?

  10. What should our project plan look like and when should we start work?


Speakers:

Gary Storer, Managing Director, Enterprise Learning

Julie Pardy, Director of Regulation and Market Engagement, Worksmart Intelligent Software

Neil Baines-Thomas, Senior Consultant Enterprise Learning

Visit our SMCR blog here.


FAQs

Who should I contact with any questions?

Please email jane.mactear@enterprise-learning.co.uk or call us on 01444 411416



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Date and Time

Location

London

ETC Venues

51-53 Hatton Garden

London

EC1N 8HN

United Kingdom

View Map

Refund Policy

Refunds up to 7 days before event

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