Date(s) - 05/02/2021
10:00 am - 12:00 pm
Getting to grips with the Certification Regime is designed to cover all the keys elements you need to know to address the regulator’s requirements.
The workshop will last for 2 hours and will be facilitated using ZOOM software.
Getting to grips with the Certification Regime covers 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 was extended to all other solo regulated FCA firms in December 2019.
To understand why Getting to grips with the Certification Regime is important we look at 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
Who should attend?
The requirements of the Certification Regime were extended to all regulatory firms from 9 December 2019. All people performing a certification function must be issued with their first Certificate before 31 March 2021 (Extended from 9 December 2020). 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 know the components of 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
How to book
To reserve a space at a workshop you must email firstname.lastname@example.org stating which one(s) you would like to attend. You will receive a booking confirmation and a joining link nearer the workshop
How much does it cost to attend?
Premium+ and Premium+ Flexi subscribers can select to attend these workshops for free subject to the terms and conditions of their subscription. This includes no cancellation charges. Please quote your membership number when booking
If you are not a Premium+ or Premium+ Flexi subscriber you are welcome to attend any of the workshops. The delegate price per event is £75+VAT. To book a place please email email@example.com. You will be sent a booking confirmation and invoice. You will be issued a link to join the workshop shortly before the event.