Online Programme: Senior Managers & Certification Regime (morning)

Introduction and Learning Objectives

10.00am – 10.10am

• Trainer and delegate introductions
• Learning objectives for the programme
• Personal objectives for attending

High level overview of current practices and key elements of the SM& CR Regime

10.10am – 10.40am

• Senior Management Functions, Prescribed Responsibilities & Statements of Responsibility
• Committees, TOR’s and memberships
• Governance – Living Wills/Handovers
• Are we just complying or are we really embedding

Certification Regime – Under the Microscope

10.40am – 11.10am

• Significant Harm Functions
• What evidence did you use for your assessments and how did you maintain consistency
• What different types of assessment cycles are in play currently
• What different approaches to approvals are being used
• What evidence are firms collecting to evidence decisions
• What appeals processes are in play

GROUP ACTIVITY PREPARATION (& Tea/Coffee break)

11.10am – 11.25am

Individual tasked activity

GROUP FEEDBACK

11.25am – 11.35am

ALL

Conduct Rules

11.35am – 12.05am

• How was it for your firm?  Lessons from the initial implementation

• How did you align your Internal values to the Conduct Rules

• Conduct Rules Breach Reporting

The on-going Organisational Impacts

12.05am – 12.35am

• Recruitment and induction
• Referencing
• Performance management
• Remuneration
• What still needs to be done to align SM&CR with your people, policies and processes

GROUP ACTIVITY PREPARATION (& Tea/Coffee break)

12.35am – 12.50am

Individual tasked activity

GROUP FEEDBACK

12.45pm – 12.55pm

ALL

Summary & Close

12.55pm – 13.00pm

• Summary of learning objectives
• Next steps
• Close