01 Oct 2019, London
10:00am to 4:00pm
This focused workshop is specifically designed to help those responsible for implementing the Senior Managers and Certification Regime (SM&CR), prepare for the new regime, get to grips with the requirements and identify how best to embed the obligations within business as usual.
More specifically it will help you:
The programme is designed for delegates from FCA solo-regulated firms but will also help those from dual-regulated firms who are already subject to the SIMR requirements but who will have to upgrade to SM&CR.
Anyone responsible for setting up and implementing the SM&CR within a financial services organisation, especially individuals in Risk, Compliance and Operations. The course may also be of interest to Human Resources staff and to those in Internal Audit.
This workshop uses a combination of trainer input, knowledge sharing with interactive syndicate work and case studies. Class size will be limited to ensure a high quality learning experience.
Charles Cattell is a consultant and training practitioner with extensive expertise across the financial services sector. He advises, trains and develops a broad range of financial services clients and their senior managers about the human aspects of regulation with a particular focus on managing people risk, the development of competence and expertise and the enhancement of corporate culture. His clients include banks, product providers, intermediary firms, and insurers with whom he works at a senior level on learning, leadership, regulatory and corporate governance issues. Charles also works extensively with trade associations, examining bodies and regulators, whom he has advised on competence and professionalism issues. He is a Chartered Fellow of the Chartered Institute of Personnel and Development, a Chartered Member of the Chartered Institute for Securities & Investment and a Chartered Insurance Practitioner and an Associate of the Chartered Insurance Institute.
|Background to Accountability II||
|Overview of the requirements||
|One size does not fit all||
|The Senior Managers Regime||
|Fit and Proper||
|SM&CR – more than just a project||
This course can be delivered in-house at a time and location to suit your business and tailored to suit your people and organisation. We can also create bespoke training when something very specific is needed.Please contact us to discuss your requirements in more detail and at no obligation.