The Essential Guide to the SM&CR
Classroom: £329 +VAT per person
The Senior Manager and Certification Regime was extended to all solo-regulated firms from 9th December 2019. Whether you work in an enhanced, core or limited scope firm the new regime means changes for both individual accountability and corporate governance.
This practical course gives you the opportunity to reflect upon your firm’s implementation thus far and progress your preparations for the 9th December 2020 deadline.
You will gain an understanding of the FCA’s objectives and practical insights from “life under SM&CR” in banking since 2016. Attending this course will enable you to compare your own firm’s current status with peers and take away ideas and best practice to help you with your first annual certification of your in-scope populations.
This course is perfect for:
Lorraine is a consultant specialising in regulatory compliance with 30 years of experience in financial services. She has held various senior HR and Compliance roles at a Top 50 bank and she has been directly responsible for both the implementation of SM&CR and ongoing compliance in the “business as usual” environment. Lorraine has significant first-hand experience of how SM&CR can positively impact at both the firm and individual level, together with a sense of the practical challenges to be overcome.