Getting to Grips with the Certification Regime

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Date(s) - 11/06/2019
9:30 am - 4:30 pm

2be Development Consultancy Venue TBC


The Certification Regime is a key component of the increased accountability regulations.  First introduced in 2016 to Banks and Building Societies it was extended on 10 December 2018 to include Insurers.  The same regime is being extended to all other solo regulated FCA firms in December 2019.

To understand the Certification Regime and why you need to act now it is important to understand the background to the changes, what the regulator expects, how this regime relates to the Senior Managers Regime and Code of Conduct as well as how your approach to T&C and Approved Persons will be affected. This workshop covers all of these elements.

When & Where
London 11 June
Leeds 19 June

Who should attend?
The requirements of the Certification Regime are being extended to all regulatory firms from 9 December 2019. The key message for delegates is to take advantage of the time they have been given to prepare for the successful implementation of the regime.  Anyone who wishes to gain a better understanding of the Certification Regime, its requirements and how to build a response to them should attend. This could be Senior Managers, Project Managers, T&C Managers, Consultants and Compliance Personnel

What are the outcomes of attending?

  • To explain the key changes arising from the extension of the SMCR regulations and where the Certification Regime fits
  • To understand why the FCA regards these changes as significant when it comes to your company culture
  • 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
  • To conduct a FIT assessment on the different categories of certification 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 define a sign off process for the issue of a certificate
  • 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?
Very useful, definitely some food for thought! Certificates and dashboards discussions to take back to work
Great, is getting me thinking of what we might have to start implementing sooner rather than later.

How much does it cost?
£325+VAT for first delegate
£275+VAT for second and subsequent delegates
 How do I book?


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