SM&CR – preparing to transition to the new regime

This event is fully booked – to find other dates please click here.

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 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

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.

We’re also running a separate SM&CR workshop tailored to HR professionals, click here for further information

CISI accredited - 3 hours CPD