Programme: Managing the Senior Managers & Certification Regime in reality

Programme Overview
Registration from 9:30 - Start 10:00 - Finish: 15:30

10.00 - 10.15 - Introduction and Learning Objectives
• Trainer and delegate introductions
• Learning objectives for the programme
• Personal objectives for attending

10.15 - 11.15 - A high-level overview of all elements of the SMCR Regime
• Background to the regime
• Components parts of the regime:
     Responsibility Mapping
     Governance Maps
     Statements of Responsibility
     Living Wills
     Fitness & Propriety
     Certification Regime
     Conduct Rules
     Duty of Responsibility

GROUP ACTIVITY – What areas of my business will be impacted by the new regime

11.15 - 11.30 - Tea/Coffee

11.30 - 12.00 - Senior Managers Regime – Under the Microscope
• Firm classifications
• Monitoring those on the borders & opting up – moving up and moving down
• Governance arrangements – how will firms embed the operational elements in BAU
• How will firms know they are managing the regime effectively

GROUP ACTIVITY – What BAU changes should we be considering

12.00 - 12.45 - Certification Regime – Under the Microscope
• Significant Harm Functions
• The range of SHF’s for allocation
• What processes will you embed to identify new hires to relevant SHF’s
• What existing processes can be altered to accommodate the new regime requirements
• What should the component parts of a Certification Regime be
  What will the certification process look like
• Who will be involved and when
• How do we time and evidence each cycle

12.45 - 13.30 - Lunch

13.30 - 14.15 - People regulation
• What current regulation impacts people
• How do we currently manage these requirements
• What changes are happening in these areas

GROUP ACTIVITY – What impact will these changes have on PDR’s, Training & Competence and Training in general

14.15 - 15.00 - Compliance & HR Teams and the impacted processes
• What key areas of people management will require key changes:
     Recruitment
     Referencing
     On-boarding
     Employment contracts
     Conduct Rules adherence
     Disciplinary procedures

GROUP ACTIVITY – What key personnel and processes do I need to brief/change

15.00 - 15.15 - Summary & Close
• Review of learning objectives
• Building your “To do” list
• Next steps

Become a member

What are the benefits of becoming an FLA Member?