Getting to Grips with the Certification Regime

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Date(s) - 17/01/2019
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
Leeds 8 January
London 9 January
Birmingham 15 January
Bristol 16 January
London 17 January
Edinburgh 22 January
Newcastle 23 January
Manchester 24 January

Who should attend?
The requirements of the Certification Regime are being extended to all regulatory firms from 10 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.

What are the outcomes of attending?
To explain the key changes arising from the increased accountability 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
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 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
To build a high level plan of the key steps that need to be taken before 10 December 2019 and during the first year of implementation.

To help you decide whether our workshop fits the bill take a closer look at the content. We cover all the areas listed above plus more

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
* Book before 24 December and receive 50% early bird booking discount

 How do I book?


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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