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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.