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
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Local and global compliance expertise for the financial services industry.Compliance and Regulatory Consulting
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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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