Date(s) - 14/01/2020
9:30 am - 1:30 pm
Following the introduction of the SM&CR regulations on 9 December solo regulated firms are now faced with the task of operationalising the regulations. One of these aspects is to confirm the Fitness and Propriety of all Certification Functions. The deadline for issuing the first certificates for people in scope is 9 December 2020.
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
14 January Leeds (Central)
15 January London (Moorgate)
23 January Edinburgh (Central)
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. In addition consultants who advise firms about these changes might benefit from attending
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?
How do I book?
IN HOUSE OPTION
We are happy to run this event as an in-house option. Please contact us for more details