Site icon Compliance Consultant London

SMCR Regulation and Guide For Implementation

Senior Managers & Certification Regime – A Practical Guide & Workshop

A Full Day Course

SMCR has to embedded by 9th December 2019 – will yours be ready?

 

What Makes This Course Different?

Objectives

 

Content

Overview and journey to the SMCR regime – briefly!

 
Key Regime Features

 
Senior Managers Regime

Workshop 1


Certification Regime

 
Conduct Rules

 
Breach Reporting

 
Workshop 2

 

Background of the Trainer

Course Director
Your CD has worked with a range of organisations from small start-ups through to FTSE100 companies, many that have had difficulties identifying and managing conflicts of interests, and helped them develop effective, robust systems. He has adapted his experience to develop this course and supporting materials with the practical skills-based focus. Lee’s skills, qualifications and experience make him ideal for supporting anyone wishing to develop top-class knowledge in the management of conflicts of interests.
Having been a freelance consultant and trainer for twenty years, your course director was appointed as a skilled person in 2012 and has conducted many audits, assessments, roll-outs and change management programmes from complaints programs, conduct risk frameworks, global risk frameworks, as well as having provided regulatory interpretation to investment banks, worked on many risk mitigation programs and set up banks.
 

Course Summary

Originally rolled out to the banking sector in 2016, the Senior Managers and Certification Regime (SMCR) is about to be extended to around 47,000 additional firms.
Beginning with insurance companies, from December 2018, and reaching asset managers and other regulated firms in December 2019.
The Financial Conduct Authority (FCA) is tightening up its rules, replacing the current Approved Persons Regime with the Senior Managers and Certification Regime (SMCR). The regime has already been operating in the banking sector for some time and will this year extend to all within the financial services sector.
This change will affect all FCA regulated firms including non-UK firms with permission to carry out regulated activities in the UK, and it will focus on three key areas:

  1. The Senior Managers Regime
  2. The Certification Regime
  3. Conduct Rules

The implementation date has been set for the 9th December 2019
Target group

Format

Call us on 0207 097 1434

Or complete the form below

[ninja_form id=7]

Exit mobile version