Tue 29 Jan 2019
10:00 - 14:00
This workshop is for senior managers and compliance officers, who will be leading their firm’s transition to and implementation of the new Senior Managers & Certification Regime.
The half day workshop will cover the following:
- An overview of the FCA’s plans and the new responsibilities for firms and senior managers
- Key features of the Senior Managers and Certification regimes
- An introduction to the new conduct rules and who’s affected
- The Duty of Responsibility for senior managers and how to manage risks and delegate
You can expect some technical detail, insight into the FCA’s approach to individual accountability and culture within firms, and come away with tips and tools to help you plan your firm’s transition from the Approved Persons regime to SM&CR.
We’re running further SM&CR workshops in 2019 for compliance officers and senior managers, and a separate session for HR professionals, so do check back for upcoming dates.
CISI accredited - 3 hours CPD
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