Getting to Grips with the Certification Regime

Loading Map....

Date(s) - 15/11/2017
9:30 am - 4:30 pm

Etc Venues


When & Where
14 November Leeds
15 November London

Who should attend?
These regulations been in operation within Banks and Building Societies since March 2016. Unlike the Senior Manager regulations they are not scaled down dependent upon the size and shape of your firm. Attending this workshop will help you;

  • Understand what the requirements are
  • Design and start you action plan to maximise the time you will have to effect changes

This workshop is ideal for anyone who will be involved in the implementation of the Certification Regime including Senior Managers, HR, T&C, Training and Compliance personnel or project teams.

What are the outcomes of attending?
To explain the key changes arising from the extension of SMCR regulations
To identify the senior manager responsible for certification and the essential communication channels that need to be in place
To capture the population who fall into scope of the certification regime and the consequences of operating a split supervision model
To be aware of the HR issues flowing from the introduction of the certification regime and regulatory references To conduct a FIT assessment on the different categories of significant harm functions within scope and the ongoing approaches needed to maintain FITness
To understand the relationship between the code of conduct and certification regime and how to embed it successfully within your firm
To design a certificate and a sign off process for the issue of it
To build a dashboard to assist with the governance of the certification requirements and the reporting requirements expected by the regulator

Who is running the workshop?
Jeff Abbott, Regulatory Services Director from 2be Development Consultancy.

What have previous delegates said about this workshop?
Excellent. Liked the informality and opportunity to discuss and share ideas
Very useful, definitely some food for thought Great!
It’s getting me thinking of what we might have to start implementing sooner rather than later

How much does it cost?
£275+VAT for first delegate
£200+VAT for second and subsequent delegates.
Second and subsequent delegates do not have to attend the same workshop to benefit from the discount.

How do I book?
This workshop is available as an in-house option. Contact us for more details

Other workshops that may be of interest
Effective Supervisory Interventions – a refresher programme for existing supervisors


About Author

Avatar photo

I provide consultancy and support to UK based financial services companies helping them to design and implement practices that develop their people, achieve their business goals and comply with the needs of the regulators. I specialise in T&C, competence assessment and conduct which may be of particular interest to companies as they address the requirements of the Certification Regime and Code of Conduct requirements. My specialities include: Knowing you have a business to run Valuing your people as your greatest asset Keeping things simple, practical and relevant Engaging the business to promote ownership Ensuring Compliance is a natural by product of doing things well

Leave A Reply