The conference focuses on the key issues that all regulated firms need to get to grips with, whether they are asset managers and insurers who are finalizing their implementation projects prior to coming within the ambit of the SM&CR, or banks that are already within scope. The summit will address the needs of senior executives in all FCA and PRA regulated firms.
Time : 8.15 a.m. – 5.30 p.m. (BST)
The following topics will be addressed:
- Managing an FCA investigation and mitigating reputational risk: lessons from the FCA’s approach to investigations of, and enforcement against, senior managers
- Practical challenges that banks have encountered in implementing the SM&CR to date
- How to manage hand over of roles between senior managers, including onboarding new senior managers in light of the SM&CR
- Re-engineering management information systems to provide senior managers with the information they need to discharge their SM&CR responsibilities
- What constitutes reasonable steps under the Duty of Responsibility and what evidence do you need?
- The proposed Directory and how to implement an effective certification process
- Enabling a ‘speak up culture’ that protects whistle blowers
- How to put in place effective mechanisms for identifying assessing and recording breaches of the Conduct Rules
- Strengthening performance management systems so that they encourage compliance with SMCR
- Complex transaction and data reporting requirements (e.g. MiFID II and EMIR): what are the implications for senior managers under the regime?
- The link between the SMCR and organizational culture: has the introduction of the SMCR been a catalyst for real change? How could it be improved?
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Local and global compliance expertise for the financial services industry.Compliance and Regulatory Consulting
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