Date/Time
Date(s) - 02/12/2019 - 29/02/2020
9:00 am - 1:00 pm
Categories
The Certification Regime comes into effect on 9 December 2019 for FCA Solo Regulated Firms. Some firms have chosen to complete only the essential elements that must be in place by then
- Identifying the people in scope
- Training on the Code of Conduct
- Preparing to give regulatory references where appropriate
- Breach reporting and Controls in place
- Processes for Certifying new entrants
The task of preparing Certificates to confirm existing Certification Functions Fitness and Propriety has put on hold until 2020 recognising that there is one year from 9 December 2019 to achieve this.
This workshop has been created to enable relevant staff to get a complete picture of what the FCA expects under the Certification Regime and how it affects established T&C schemes within firms. It provides an opportunity to understand the context of what the FCA is looking for and for firms to challenge themselves as to whether their existing approaches are watertight. The workshop also introduces participants to a checklist of best practices associated with regulated competence schemes.
When & Where
IN HOUSE – You control the location, equipment, timing and refreshments
AVAILABLE 1 DECEMBER TO 29 FEBRUARY 2020
The workshop runs for 4 hours
Who should attend?
Anyone in the firm who is involved in the design, implementation and oversight of T&C who will be involved in making the necessary changes to accommodate the Certification Regime. The workshop works best with up to 9 people though additional numbers can be included if required.
What are the outcomes of attending?
- To be clear about the purpose of a T&C scheme and how to set objective outcomes and measures
- To understand how the introduction of the Certification Regime will impact on the approaches taken within a T&C scheme
- To align competence with cultural, conduct and customer drivers
- To be able to quantify the supervisory risk within the T&C Certification Functions and steps to manage it
- To understand how T&C MI and reporting will be affected by the new regulations
- To be introduced to the 8 principles and 74 measures of effective competence schemes and how they can be used
Who is running the workshop?
Jeff Abbott, Regulatory Services Director from 2be Development Consultancy.
How much does it cost?
Fixed cost of £950+VAT for the workshop from 3-9 people
Only UK locations covered for this offer
How do I book?
Email: info@2bedevelopmentconsultancy.com
Additional Facilitation Session of Follow Up Actions
If required we are happy to stay on for an additional session of up to 3 hours to facilitate specific actions that will be undertaken by attendees as a result of attending the workshop. This is subject to an additional charge.
