Financial services 40 minute briefings

With less than three months to go until the extended Senior Managers and Certification Regime (SMCR) comes into force, the clock is ticking for UK firms.

As the implementation deadline of December 9, 2019 draws closer firms are finding that they have to deal with a number of ‘late in the day’ thorny issues that often require judgement calls. To reflect this, the format of this event will differ from previous extended financial services briefings, being a practical workshop involving a roundtable discussion of some of the difficult issues firms are facing conducted under Chatham House rules.

To give the practical workshop structure, the Norton Rose Fulbright SMCR implementation team will lead a discussion as to what they are seeing as firms make their final preparations for SMCR implementation. The certification regime and the assessment of fitness and propriety will also be examined by reference to some of the common pitfalls that banks found when they were implementing this part of the SMCR. Finally, participants are invited to send any questions they may have on the SMCR to financial.services@nortonrosefulbright.com and we will endeavour to answer them on the day.

• SMCR implementation – key legal issues we are seeing
• SMCR compliance projects – practical tips
• The certification regime examined – avoiding some of the common pitfalls
• SMCR audience questions – our thoughts

Who should attend?

The seminar is likely to be of particular value to senior and middle management within financial institutions with responsibility for senior managers, compliance and human resources.

Accreditation

CPD points will be available if required. There is no charge for attending

Webcast

Given that the workshop is being conducted under Chatham House rules it will not be recorded via webcast