PIMFA
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The SM&CR ‘Duty of Responsibility’ and the ‘Senior Manager Conduct Rules’ establish clear senior management responsibility for complying with the requirements of the Consumer Duty. This includes a requirement for Senior Managers to personally attest that the Consumer Duty is embedded within their firm.
At least annually, a firm’s board, or an equivalent governing body, must also review and approve an assessment of whether the firm is delivering good customer outcomes consistent with the Duty.
This webinar will help you:
• Understand the requirements and expectations of Senior Managers;
• Provide examples of the ‘reasonable steps’ Senior Managers should take to effectively discharge their individual and collective responsibilities; and
• Provide examples of industry and regulatory best practice.
Who should attend?
- Consumer Duty Champions
- Senior Executives responsible for ensuring ‘good outcomes’
- Chief Risk Officers and Heads of Compliance
- Risk & Compliance Managers
- In-house Compliance Advisory
More about Simon Goryl
Simon is the Advisory Director at Square 4 and supports firms across financial services with regulatory change; risk management; governance and controls design and implementation; strategy, policy and process development.
Simon has a wealth of experience leading advisory teams across all financial services verticals and has led and implemented various significant regulatory change projects.
More about Paul Scott
Paul is a proven leader of business, people and in managing high profile regulatory issues. Paul was a Compliance Director at Barclays Wealth and has worked in leadership roles within consultancy organisations. He also spent 7 years in Supervision at the UK’s financial services regulator. Paul has a thorough understanding of the regulatory environment and the key issues on the agenda of Boards.
