Financial services 40-minute briefingsLondon | April 01, 2020 | 08:45 - 10:00 GMT
We live in an era in which regulators and the court of public opinion are often unforgiving of any perceived or actual failings. The implementation of the Senior Managers and Certification Regime (SMCR) for FCA firms has brought this home but it is part of a much bigger picture. We have seen an increasing focus on governance issues and think that there are a number of practical lessons to be learnt from the experience of the last few years. This workshop, conducted under Chatham House rules, will be an interactive one of the type we have been piloting recently and will seek to examine good and poor practices around how these issues are handled. We will focus on going beyond the overall guidance and discuss practical and actionable observations. We will be joined by members of our financial services consultancy and legal teams which cover both non-contentious and contentious scenarios from a regulatory and employment law perspective. Particular focus areas will be:
- SMCR post implementation agenda – what to think about this year
- Whistleblowing – practical insights from response experience. We will cover areas such as the tensions between regulatory and employment law and when and how to run investigations where issues have been raised.
- Corporate governance – areas to watch for and what we are seeing across the industry. The issues are relevant across the areas of interest to the regulators, including, for example, board and executive structures, transaction reporting and product distribution. The important point is that this is relevant to both wholesale and retail firms
Who should attend
The workshop is likely to be of particular value to compliance, legal and management of UK authorised firms with responsibility for or involvement in the regulatory relationship and HR practitioners involved in regulatory issues. Come prepared to participate in a lively discussion and share your ideas and experiences with peers.
CPD points will be available if required. There is no charge for attending.
Given that the workshop is being conducted under Chatham House rules it will not be recorded via webcast.