22 Nov 2019, London
13:45pm to 5:00pm
Ever since assuming their powers in 2013, the PRA and FCA have clearly signalled, and acted upon, their intention to subject senior management to a more intense and intrusive level of scrutiny. They introduced the new Senior Manager & Certification Regime for some types of financial institution initially and have now extended a version of it across all regulated firms.
While implementation of the new regime may be complex, the consequences of failing to comply with the enhanced requirements are likely to be damaging for the approved individual and highly disruptive for the organisation.
Accordingly, this focused event is specifically designed to help Senior Managers and Approved Persons holding Significant Influence Functions:
This event will be of value to individuals falling under the scope of the Approved Person or Senior Manager regimes or about to become so. It will also be of interest to those responsible for managing or supporting SIFs and Senior Managers. This programme is particularly useful ahead of a regulatory visit or as part of the induction for senior managers. (We offer an alternative course dealing specifically with the Senior Insurance Managers Regime: please contact us for further information.)
This course will lecture style presentations with practical examples and exercises. Delegate numbers will be limited to ensure a high-quality learning environment combine.
Gary Pitts has over 25 years of compliance experience, including spells as regulator and working in leading asset management, investment banking and hedge fund organisations. He is a former director of Cayman and Luxembourg domiciled hedge funds, as well as regulated companies in the UK and South Africa and has been an FSA/FCA registered person in Controlled Functions 10 and/or 11 since 2001 and now runs his own regulatory and governance consultancy, Tetractys Partners LLP. Gary is a regular conference speaker and author of technical articles on compliance-related topics, sits on the regulatory advisory group of the Journal of Securities Operations and Custody and holds Masters degrees from Oxford and London Universities and an MBA from the Open University Business School. He brings a combination of compliance and commercial experience, in terms of both practical implementation and Board level oversight, to the training he delivers.
|Senior Managers and Approved Persons: the regulatory framework and approach||
|Senior Managers & Certification Regime||
|Risk systems and controls||
|Regulatory hot topics||
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.