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
Local and global compliance expertise for the financial services industry.Compliance and Regulatory Consulting
Comprehensive compliance and regulatory support for FCA authorized firms.UK Regulation
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
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