The extension of the FCA’s Senior Managers and Certification Regime (SM&CR) to all solo-regulated firms comes into force on 9 December 2019. With less than a year until enforcement, the SM&CR is the next big regulatory challenge for financial firms in the UK firms, now is the time to start developing a clear implementation plan.
Join us on Tuesday, January 22, 2019 at 12:00pm GMT for a complimentary webcast: Senior Managers & Certification Regime: What you need to know. Our subject matter experts will examine the key steps that your firm will need to take to comply with the new standards.
Discussion topics will include:
- Will SM&CR require changes to the way my firm is managed?
- How should we allocate the Prescribed Responsibilities between our Senior Managers?
- What needs to be included in a Statement of Responsibility?
- What are the key steps to Certifying relevant staff?
- How will I train my staff in the new Conduct Rules?