Date(s) - 13/11/2019
9:30 am - 4:30 pm
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.
When & Where
London. Moorgate 13 November
Leeds 26 November
Who should attend?
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. This workshop will address key findings of the FCA Stocktake report first published in August this year.
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 examine how to measure your culture and how this links to key SM&CR objectives.
- To capture the population who fall into scope of the certification regime and the challenges you face within the various categories of certification functions
- To be aware of the HR issues flowing from the introduction of the certification regime, what constitutes a breach, how these might be tracked and the reporting requirements
- To conduct a FIT assessment on the different categories of certification functions within scope and the ongoing approaches needed to maintain FITness, ensure assessments are complete,consistent and reliable and how you address the challenges of subjective evidence, and the operation of existing performance management practices.
- To understand the relationship between the code of conduct and your company values 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 to demonstrate the effectiveness of the approaches that you undertake
Who is running the workshop?
Jeff Abbott, Regulatory Services Director from 2be Development Consultancy.
How much does it cost?
How do I book?