Are You Ready for the SMR Extension and Similar Provisions in MiFID 2?

Date: 
November 04, 2016 - 6:23 am
Type: 
Roundtable
Division: 
Investment Adviser Private Fund FCA (UK) Authorization
Location: 
4 More London London, SE1 2AU

Double whammy. Extension of the Senior Managers Regime and MiFID 2 new corporate governance requirements. Are you a senior manager? Are you ready for the combined effect of MiFID 2 and the SMR extension?

There are two impending changes which will affect you personally and the aim of the briefing is to highlight the main points of impact for you.

Our guest speakers:

  • Adam Palmer and Philip Walsh from ACA will discuss some of the practical issues to consider in relation to the Senior Managers Regime.
  • Penny Sanders of Gowling WLG will give a high level view of the relevant provisions in MIFID 2 focussing on senior managers.
  • The Chief Compliance Officer from a major financial institution will give a snap shot from his personal perspective as a senior manager already subject to the new regime and share his personal experience of the expectations of the FCA.

We will start with breakfast to allow time to catch up with your peers before going straight into the briefing.

Gowling WLF will be tracking RSVPs for this complimentary event. Please click here to RSVP

 

 

This event is not open to the media.

 

 
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