Getting to grips with the Certification Regime

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Date/Time
Date(s) - 05/06/2024
10:00 am - 12:00 pm

Categories


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

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
5 June

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

What are the outcomes of attending?

  • To explain the key elements 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 office@t-cnews.com 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?
The delegate price is £95+VAT

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About Author

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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

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