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The Certification Regime Scope

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Objectives To examine the regulations relating to the scope of the Certification Regime and how the categories of membership apply to firms. Some test questions are set out towards the end of this post. Outcomes To understand who falls in scope of the regulations To be able to differentiate how these regulations apply to non-UK firms To describe the 8 main categories of Certification Function COPY OF SLIDES – DOWNLOAD HERE VIDEO TRANSCRIPT Hi,  I’m Jeff Abbott. I am Regulatory Services Director here at 2Be Development Consultancy. In this short video, I’m going to take a closer look at the…

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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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