Duff & Phelps is hosting a breakfast seminar where we will discuss the Senior Managers and Certification Regime (SM&CR).
The new regime will replace the Approved Persons Regime and bring far reaching changes, requiring firms to carefully consider their organizational and management arrangements.
Time: 8:30 a.m. - 10:30 a.m.
We are delighted to be joined by guest speakers Alex Smith of the FCA and Peter Wright of Fox Williams.
- Policy objectives
- Proportionality of application
- Overview of the new regime
- Planning for implementation
- Reasonable steps
- Lessons learned from the banking regime
- The Directory
- Legal considerations
- Employment issues
- Considerations for firms and individuals
- 8:30 a.m. – Registration and Breakfast
- 9:00 a.m. – Welcome and Seminar
- 10:30 a.m. – End
Compliance and Regulatory Consulting
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Senior Managers and Certification Regime (SM&CR) Consulting and Implementation Support
A comprehensive range of support and solutions to all firms and individuals subject to SM&CR.Senior Managers and Certification Regime (SM&CR) Consulting and Implementation Support