Objectives
To work through the increased SMR regulations as they apply to enhanced firms and capture the key changes that affect firms. Some test questions are set out towards the end of this post.
Outcomes
- To understand the outcomes the regulator wishes to achieve and the challenges this presents to firms and how to meet them
- To connect the SM and CR to your culture and the drivers of it
- To establish a timeline of key events that need to be completed before 9 December 2020
- To map across existing controlled functions into the new regime allocate prescribed responsibilities create statements of responsibilities, responsibility maps and handover procedures, understand the duty of responsibility and where needed documents required for completion
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