This one day conference will provide a very practical overview of where firms should ideally be now, what still needs to be done prior to the 9 December 2019 deadline, as well as assistance in prioritising action over the next few months.
The Senior Managers and Certification Regime (SM&CR) is arguably the biggest regulatory change for FLA members since the transfer to FCA regulation over 5 years ago. As the near final rules were published in summer 2018, firms should now be well into their preparations for implementation. This is a good time for members to take stock of their progress so far and check if the y are on the right ‘track’.
The programme will include:
• The FCA’s views on the new regime
• Key areas of focus: Statements of Responsibilities; Prescribed Responsibilities; Responsibilities Maps; Certified Functions; Updating Systems
• Effectively embedding a SM&CR Culture
• Organisational training on the Conduct Rules
• Future proofing SM&CR implementation
• Avoiding pitfalls and what works well