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Event Details

Overview

Bring a colleague along for free: use code smcrjuly at checkout

With less than 6 months to go before SM&CR comes into effect, time is running out for senior managers and members of core firms to bring themselves up to date with what this means for the governance and culture within the firm, along with their own individual responsibilities and accountabilities.

This practical 3½ hour workshop, underpinned by PIMFA latest guidance on SM&CR for firms, steers clear of offering you a ‘do’s and don’ts’ lists of the new regime, rather it tackles, through practical scenarios and case studies, a simple, clear and proportionate approach to SM&CR that will help your firm achieve a smooth transition into the new regime.

 

What you will cover

  • What the regime means for senior managers, and how best to engage them
  • The key elements of the regime that affect your firm and its governance
  • Where the banks hit problems implementing SM&CR and how they resolved them
  • The ten top questions firms are asking about SM&CR….and solutions!
  • How to structure your SM&CR project, and what to prioritise
  • How firms are leveraging SM&CR to reduce operational risk and improve conduct

 

Who should attend?

This workshop is crucial for:

  • Senior managers who have responsibility in HR, compliance, risk and compliance functions
  • Managers who are involved in the governance of the firm
  • Managers those who provide either direct support or report to senior managers

 

Do you have 5 or more staff interested in attending this workshop? If so, it may be more cost effective to run a tailored version of this workshop in your offices. For further details and costs please contact phila@pimfa.co.uk

Agenda

Workshop Content

What and Why –  SM&CR overview

  • Background to SM&CR
  • Timeline – your project plan
  • High level introduction to the component parts of SM&CR
  • Update on FCA requirements and expectations

 

The component parts – Senior Managers

  • Senior management functions mapping
  • Prescribed Responsibilities for senior managers
  • Statement of responsibilities
  • Duty of responsibility

 

CASE STUDY EXAMPLE on Taking Reasonable Steps

 

The component parts – Certification

  • Identification of the certified population
  • Comparing against the approved persons regime
  • Organisational impacts

 

CASE STUDY EXAMPLE on Delegating Responsibilities

 

The component parts – Conduct Rules

  • Review of the Conduct rules and impact:
  • For senior managers
  • For certified individuals
  • For all staff
  • Reporting requirements and keeping track
  • Moving from a tick box culture

 

CASE STUDY EXAMPLE on Assessing Fitness and Propriety

 

Speakers

John Williams
Independent Consultant

Tickets

13 available
SM&CR-July-Training-Core-Member£300.00 ex. VAT

Please fill in all required fields

10 available
SM&CR-July-Training-Core-Non-Member£400.00 ex. VAT

Please fill in all required fields

Details

Date:
3rd July
Time:
09:30 - 13:00
Cost:
£300 - £400
Event Categories:
,

Other

CPD Hours
3.5
Morning Break
0
Afternoon Break
0

Venue

PIMFA
22 City Road, Finsbury Square
London, EC1Y 2AJ United Kingdom
Venue Website:
pimfa.co.uk