Since the Central Bank of Ireland proposed the introduction of the Senior Executive Accountability Regime and the broader Individual Accountability Framework, firms and individuals alike have been working hard to assess the changes required and the impact of the new regime on those affected. Due to the type and scale of the changes planned, this is likely to be one of the most impactful regulatory changes seen in recent years. The recent consultation paper published by the Central Bank has clearly laid out what the new regulatory expectations will be and whilst firms digest both this document and the supporting guidance, there are still many firms and individuals looking to gain further clarity on how this will impact them. With the clock ticking towards the initial implementation dates, now is the time to start considering how you and your organisation could benefit from exploring how RegTech can support and streamline your accountability regime. With more experience of SM&CR implementations in the UK than other RegTech supplier, why not join the Worksmart team as we discuss and debate the challenges that the new regime will bring to firms, and the lessons learnt from UK organisations who have now been subject to an accountability regime for some years now. Whilst some aspects of the newly proposed regime/framework including SEAR, will initially only apply to certain regulated firms, others such as new conduct rules for certain individuals and business standards for firms will apply for all regulated firms. We will seek to discuss and debate all areas and engage with the audience for polling, commentary, Q & A’s and general observations and experience, so if you feel that you and your firm could benefit from the vast experience that the Worksmart team have built up in the UK, then join us for what will be a lively and open discussion. To book click here Vanessa Palmer Database & Events Management Principal vanessa.palmer@worksmart.co.uk 07535031514

Since the FCA introduced plans for Consumer Duty, firms and individuals alike have been working hard to ensure they deliver against the new requirements. However, whilst there has been a lot of work put into implementing the cross-cutting rules, and the four consumer outcomes, very little has been said about the “employee” dimension, other than in respect of the Conduct Rules. If asked, would your organisation be confident to hand over their Training & Competence records to the regulator? If they asked to see your T&C Regime pre-Consumer Duty and post, would it really look any different? If asked, could your firm demonstrate analysis and decisions around appropriate MI to evidence that your T&C scheme supports good consumer outcomes? Would being asked to demonstrate “role relevant” training on conduct rules to staff make you start to feel a little uncomfortable? Regardless of whether you might answer Yes/No/Don’t know to any one of those questions, we think your input and perspective would add value to our debate on the topic, so the Worksmart team to discuss: 1. The regulators expectations of your T&C Regime 2. What analysis and changes have you made to your T&C arrangements in light of Consumer Duty 3. What does a good T&C regime look like under Consumer Duty? 4. How you can evidence, measure, and monitor the competence of the staff to deliver defined customer outcomes 5. How can your T&C arrangements support Culture change in your firm 6. How RegTech can improve your approach to T&C Click here to register

Since the FCA introduced plans for Consumer Duty, firms and individuals alike have been working hard to ensure they deliver against the new requirements. However, whilst there has been a lot of work put into implementing the cross-cutting rules, and the four consumer outcomes, very little has been said about the “employee” dimension, other than in respect of the Conduct Rules. If asked, would your organisation be confident to hand over their Training & Competence records to the regulator? If they asked to see your T&C Regime pre-Consumer Duty and post, would it really look any different? If asked, could your firm demonstrate analysis and decisions around appropriate MI to evidence that your T&C scheme supports good consumer outcomes? Would being asked to demonstrate “role relevant” training on conduct rules to staff make you start to feel a little uncomfortable? Regardless of whether you might answer Yes/No/Don’t know to any one of those questions, we think your input and perspective would add value to our debate on the topic, so the Worksmart team to discuss: 1. The regulators expectations of your T&C Regime 2. What analysis and changes have you made to your T&C arrangements in light of Consumer Duty 3. What does a good T&C regime look like under Consumer Duty? 4. How you can evidence, measure, and monitor the competence of the staff to deliver defined customer outcomes 5. How can your T&C arrangements support Culture change in your firm 6. How RegTech can improve your approach to T&C To book click here Vanessa Palmer Database & Events Management Principal vanessa.palmer@worksmart.co.uk 07535031514

At St Andrew Square, Edinburgh, EH2 2AD The Enterprise Investment Scheme Association (EISA) is bringing together small businesses, investors, IFAs, entrepreneurs and business advisers — all in one place to hear expert opinion from SME industry experts. The event is split into two parts – a technical seminar, followed by a networking reception. The seminar is 4pm registration for 4.30pm start till 5.45pm at The Edinburgh Grand, 42 St Andrew Square, EH2 2AD. The networking reception is 6pm till 7.30pm next door at RBS/Dundas House, 36 St Andrew Square, EH2 2AD. Ready Steady Grow Edinburgh – sign up here Seminar agenda and speakers forthcoming. *** Here's an overview of this year's entire series of Ready Steady Grow! events: Edinburgh (29 Aug), Birmingham (20 Sep), Cardiff (27 Sep), Bristol (28 Sep), Manchester (4 Oct), Leeds (10 Oct), Cambridge (11 Oct), Newcastle (17 Oct), Belfast (19 Oct), Oxford (2 Nov) If you have any queries or would like to attend please contact Mary Rodgers on mary.rodgers@eisa.org.uk *** FAQs Who should attend this event? Entrepreneurs looking to start a business, or access funding to take your business to its next level Wealth managers looking to gain knowledge and expertise in EIS and small company investing Investors looking to invest in the ‘Next big thing’ Professional Advisors who want to help SMEs develop and grow. Will refreshments be provided? Drinks and canapés will be provided *** We, the EISA, may share your personal data with third parties in certain circumstances including (but not limited to) our sponsors. Before we disclose personal data to a third party, we take appropriate steps to ensure that the third party will protect personal data in accordance with applicable privacy laws and in a manner consistent with our privacy policy, which can be accessed here: https://eisa.org.uk/about-eisa/privacy-policy/.