Wed 10 Apr
8:30 am to 9:30 am
Calum Burnett - Litigation & Investigations , Partner - Profile
Sarah Henchoz - Litigation Employment, Partner - Profile
Robbie Sinclair - Litigation Employment, Senior Associate - Profile
Sarah Hitchins - Litigation & Investigations , Senior Associate - ProfileSynopsis:
The extension of the FCA’s Senior Managers and Certification Regime (SMCR) will come into force on 9 December 2019. As the deadline for implementation draws nearer, this seminar is the second part of our introductory seminar held in January and will focus on key topics that FCA-only authorised firms should be progressing as part of their implementation projects.
Members of our regulatory and employment teams will cover:
- How firms should be approaching this phase of their SMCR implementation projects, including what they should be prioritising at this stage and why.
- How firms should assess fitness and propriety – both as part of their annual process, as well as on an ad hoc basis when issues arise.
- The obligations that firms will be subject to under the new regulatory reference rules, and what these rules mean for firms in the meantime.
- What firms should be thinking about now in relation to implementing and embedding the FCA’s Code of Conduct.
- How firms can ensure that they implement the SMCR in a way that will allow them to ‘live’ with the SMCR post-9 December 2019.
The insights shared in this seminar will draw on our extensive experience of advising banks and building societies in relation to the SMCR, as well as our work with FCA-only authorised firms and industry bodies in this area.
This seminar will be of interest to those in Legal, Compliance and HR functions of FCA-only authorised firms which will be subject to the SMCR from 9 December 2019.
Location: One Bishops Square, London, E1 6AD
This seminar qualifies for 1 CPD point/s
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