Join Duff & Phelps and Trailight for a series of events exploring some of the practical challenges SM&CR will bring ahead of the commencement date of 9th December 2019.
- 8:30 a.m. – Registration and Breakfast
- 9:00 a.m. – Welcome and Seminar
- 10:30 a.m. – End
In this session, we will discuss the additional areas that regulated entities that are part of a corporate group structure will need to consider, based our combined experience of implementation across the banking and insurance sectors.
Topics will include:
- FCA policy objectives
- The group dynamic – influence from the parent, matrix reporting lines
- Aligning roles with legal entity accountability under SMCR
- Governance considerations – the role of the entity Board, group committees, escalation protocol.
- David McNair Scott, CEO, Trailight
- Mark Turner, Managing Director, Duff & Phelps
- Heidi Dainton, Director, Duff & Phelps
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
has renegotiated its external management agreement with
has completed a $378 million real property sale/leaseback transaction with a privately-held group of real property holding companies for skilled-nursing facilities.
September 23-24, 2019 Hertfordshire