SMCR: how to optimise your project for real gains (as well as satisfying the FCA)

26 February 2019

The extension of the Senior Manager & Certification Regime to all solo-regulated firms means that impacted firms should set up their projects to meet the implementation deadline and have time to deal with the practicalities and challenges involved.

This webinar will help you optimise your project so that you achieve real gains from the work involved. This is based on our experience over the past four years of helping firms to implement the regime and advising on its practical operation. 

This seminar is of particular relevance to Compliance Managers, HR Directors, Legal Directors and individuals who are responsible for implementing the new regime in their firms.
We will be covering:
  • The requirements and impacts in a nutshell.
  • Assessing who falls into which category – and what difference it makes.
  • How to structure your SMCR project, and what to prioritise.
  • The conduct rules - what they mean in practice for your senior managers and staff, and how best to engage them.

  • The opportunities and challenges for HR and the key people issues including changes to contracts, policies and procedures.
  • Where firms hit problems and how to resolve them.  
Please feel free to forward this on to relevant members of your organisation.  

Event information: 8 March 2019 / 9:00 GMT

Register now

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Jargon Buster

Agency Database

Future Dates

* Estimated date

  • 24 November 2019

    Form K, the conversion form under SM&CR,  must be submitted by 23.59pm on 24 November 2019.

  • 1 December 2019

    End of four-year transitional period for RTS on risk-mitigation techniques for OTC derivatives contracts not cleared by a CCP under EMIR.

  • 9 December 2019

    The changes set out in the appendices of PRA PS20/19, implementing changes to the prescribed responsibility for recovery and resolution under SM&CR,  will come into force.