The Senior Managers and Certification Regime was implemented on 9 December 2019 for Solo Regulated Firms.
This has been the biggest shake up within the regulated environment since the introduction of the Approved Persons
Regime back in the day.
Having been a requirement within the banking arena since March 2016, it is clear that a joined-up approach from both
the Compliance and HR functions is a key part of the support structure that businesses require in order to manage
these additional new regulatory requirements.
As a result, Compliance and HR professionals will be called upon more than ever before to help regulated businesses
manage the regime in BAU and provide oversight of it on an on-going basis.
This event will allow individuals to develop their understanding about the newly introduced Regime and consider, on
behalf of their business what areas, processes, documentation and record keeping systems will need updating and/or
implementing as a result of this new regime.
This session will allow Compliance & HR professionals to come together to learn from experience that has been
gained in the banking sector, and to help them ensure that there are no surprises in BAU across any elements of the