Senior Managers and Certification Regime Breakfast Seminar (SM&CR)

Location The Savile Club, 69 Brook Street, Mayfair

London W1K 4ER

Calendar September 13, 2018

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.

Register here

We are delighted to be joined by guest speakers Alex Smith of the FCA and Peter Wright of Fox Williams.

Topics include:

  • 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
  • Enforcement 
  • Considerations for firms and individuals 

Agenda:

  • 8:30 a.m. – Registration and Breakfast
  • 9:00 a.m. – Welcome and Seminar
  • 10:30 a.m. – End

Speakers:

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