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Senior Managers & Certification Regime: A Practical Guide and Best Practice to Implementation

September 5, 2019 @ 8:00 am - 9:30 am

Senior Managers & Certification Regime (SM&CR) doesn’t need to be difficult – brokerage firms just needs to be organised about it and take the sufficient steps as well as implement a process that can be supported and sustained.

  • What is SM&CR and why is it there?

  • Where do you start with implementation –
    • classification and allocation of roles
    • 1st, 2nd and 3rd lines of defence
    • Collecting the relevant information
    • Statements and duties of responsivity – what is the difference?
    • Proving you have met your obligations – how do you do that?
    • Evidencing compliance

  • Certification regime –
    • how do firm leverage what they already have in place?
    • Oversight of delegation
    • How does a firm make the process sustainable?

Insight Regulatory Consulting LLP will lead this discussion drawing on their extensive experience.

Details

Date:
September 5, 2019
Time:
8:00 am - 9:30 am
Event Tags:
,
Website:
https://www.linkedin.com/company/insight-regulatory-llp/

Organiser

The Broker Club
Phone:
+447990561288
Email:
events@thebrokerclub.org
Website:
View Organiser Website

Venue

Boardroom, 6th Floor, Becket House
36 Old Jewry
London, EC2R 8DD United Kingdom
+ Google Map
Website:
View Venue Website

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