Senior Managers Regime: the clock is ticking

Seminar

December 5, 2018

The partners of the Norton Rose Fulbright LLP financial services team invite you to their latest breakfast briefing.

Our breakfast briefings provide insight, practical knowledge and information, and act as a forum for sharing views and advice.

The briefings are likely to be of particular value to senior and middle management within financial institutions with responsibility for compliance, capital markets, investment management, legal, risk and trading.

Programme

The FCA has revealed that the extended senior managers and certification regime will come into effect on 9 December 2019. With a year to go before implementation now is the time to start thinking about how the new regime will be implemented in your firm. The changes are significant for firms. First, there are substantive changes to individual roles and responsibilities and how these are perceived and described. Second, a firm’s systems and processes need to updated and, in some cases, re-designed.

  • The latest commentary from the FCA
  • Approaching your implementation projects
  • Designing a robust reasonable steps framework
  • HR/employment perspectives

Accreditation

The briefings count towards SRA continuing competence. There is no charge for attending.

Webcast

The briefings will be recorded via webcast and are available after the briefing.

For further information please email: financial.services@nortonrosefulbright.com

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