Thu 02 May 2019
10:00 - 14:30
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 areas of strategy, policy and processes that will change under the new regime
- An introduction to the new conduct rules and who’s affected
You can expect technical detail, insight into the FCA’s approach to individual accountability and culture within firms, plus tips and tools for successful implementation. You will also leave having started you plan your firm’s transition to SM&CR.
Bates Wells Offices, 10 Queen Street Place, EC4R 1BECancellation policy for seminars