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Background & Objectives
This one-day workshop has been designed primarily for human resources specialists. It is intended to explain the implications of working in a regulated environment and, in particular, to address those aspects of the regulatory regime which have a direct impact on the HR function.
This course is equally appropriate for delegates from FCA solo-regulated firms and from firms which are dual-regulated by FCA and PRA.
Specifically, this practical course will help you:
- Understand the nature of financial services regulation
- Ensure you are up to date with the latest regulatory developments, especially in relation to SM&CR
- Examine the regulatory impact on the full scope of HR activities, from recruitment through fitness
and propriety, competence, performance, record-keeping and remuneration
- Identify specific obligations which fall to HR as a result of the regulatory requirements
- Highlight opportunities for using the regulatory framework as a vehicle for demonstrating the value
of the HR function to the business
- Benchmark your approach and procesures against market good practice
This course will combine lecture style presentations with practical examples and discussions.
Topics may include buat are not limnited to:
- The UK financial services regulatory framework
- Development of the FCA rules governing people
- Senior Management Arrangements, Systems and Controls
- Approved Persons Regime
- Senior Managers and Certification Regime
- Recruitment, Fitness and Propriety
- Achieving, Assessing and Maintaining Competence
- HR Practice, Risks and Controls
- Culture and people risk