Loading Events

All Events

  • This event has passed.

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.


September 5, 2019
8:00 am - 9:30 am
Event Tags:


The Broker Club
07990 561288


The Broker Club, Old Jewry
Board room, 6th floor, Becket House, 36 Old Jewry
London, EC2R 8DD Ukraine
+ Google Map
View Venue Website

Register Today

The broker club is an exclusive club for brokers active within financial markets. The club is particularly relevant for senior management, front and back office, risk/compliance and IT.

Click here to register