Programme: The Senior Managers & Certification Regime – Assisting with implementation

9.00 Registration and Coffee

10.00 Chairman’s Introduction
Paul Young
Managing Director
BRS, Grant Thornton UK LLP

10.15 The Regulator’s View: Introducing the new regime
• Culture & Governance
• Intended regulatory outcomes
• Moving to the new regime
• Lessons from the banks who’ve gone before
• Ongoing responsibilities
David Blunt
Head of Department / Conduct Specialists /Supervision and Executive in charge of SM&CR

10.45 SMCR – Action required
• Statements of responsibilities
• Identifying Certified Persons
• Fit and proper assessments
• Conduct Rules - Training staff
Noline Matemera
Partner, Financial Services Regulatory

11.15 Coffee Break

11.45 Operationalising SM&CR
• Where are you now versus where you need to be
• Managing SM&CR activities into BAU
• Future proofing your SM&CR implementation
Julie Pardy
Director of Regulation and Market Engagement

12.15 Lessons from Phase 1
• How we can learn from first time around?
• Effective preparation and reasonable steps
• Avoiding pitfalls and what works well
• Typical queries that firms are asking
Simon Collins
Managing Director, Financial Services
Konexo, a division of Eversheds Sutherland

12.45 Lunch

13.45 Effective conduct & culture
• Behavioural psychology behind SM&CR
• Assessing current conduct and culture
• Measuring future conduct
• MI required
Dr Roger Miles
Senior Consultant
BP&E Global Ltd

14.15 Ongoing compliance (BAU)
• Regulatory References
• The Directory
• FCA Supervision/enforcement – reducing the risk
• FCA enforcement action so far
Sarah Herbert
Compliance Director
Addleshaw Goddard LLP

14.45 Top Tips - How to successfully implement SM&CR
Simon Morris
CMC Cameron McKenna Nabarro Olswang LLP

15.15 Chairman’s Summary

15.30 Event ends

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