Date(s) - 03/03/2020
1:15 pm - 5:00 pm
The introduction of the SM&CR regulations is, amongst other things, one of the biggest changes that firms need to address about their culture. As well as bringing in a culture of accountability the FCA requires firms to ensure that employees are clear about the responsibilities that they carry as well as behave in a way that supports the firm’s values that underpin their culture. The expectations placed upon firms on how they confirm the fit and proper status of individuals has changed. You will need to have clear standards against which individuals can be assessed. These standards will demonstrate how behaviours link to company values and the regulators code of conduct. The whole approach is evidence based and will be particularly challenging to employees who have never been subject to a T&C scheme and find themselves holding a Certification Function. Many existing T&C schemes will also contain structural weaknesses as they have failed to review how competence is managed and the correct way of building a portfolio of evidence.
When & Where
Leeds 3 March
London 4 March
Edinburgh 11 March
Who should attend?
Anyone who would like to develop an understanding of how to assess a person’s Fitness and Proprietary status under the Certification Regime that will be capable of standing up to regulatory scrutiny.
What are the outcomes of attending?
To breakdown the FIT and proper checks into the component parts and fully understand what the FCA expect from each component
To be able to determine the standards to be met and the ways in which performance against these standards can be assessed accurately and reliably across your firm
To use best practice to build a portfolio of evidence to support the decision to confirm a person’s fit and proper status
To successfully embed the Code of Conduct and ensure that the requirements relating to Honesty, Integrity and Reputation can be satisfied
Who is running the workshop?
Jeff Abbott, Regulatory Services Director from 2be Development Consultancy.
How much does it cost?
How do I book?
IN HOUSE OPTION
This workshop can also be run as an in-house event. Contact us for details