Thu 28 Nov 2019
16:00 - 18:00
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.
This seminar will cover the following issues:
- 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
Why choose this course?
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
Who should attend?
- Senior Managers
- Compliance Officers
Bates Wells Offices, 10 Queen Street Place, EC4R 1BECancellation policy for seminars