A One-Day Conference
31st January 2017
IOR is partnering with City and Financial Global for this event.
20% discount – see below
The FCA has said that it will ensure that the extended regime appropriately reflects the diverse business models operating in the UK market and is proportionate to the size and complexity of firms.
Given the fundamental changes that firms will need to make in advance of its implementation, it is widely acknowledged that they need to start preparing as soon as possible. Organised in response to widespread demand from the financial services industry, this summit is being held shortly after the publication of the FCA’s paper on how it plans to implement the extension of the SMR, which is due out before the end of the year.
Confirmed speakers to date include:
- Megan Butler, Director of Supervision (Investment, Wholesale and Specialists), Financial Conduct Authority
- Elaine Aarons, Partner, Withers LLP
- Andrea Finn, Partner, Simmons & Simmons
- Caroline Hunter-Yeats, Partner, Simmons & Simmons
- Stephen Kingsley, Senior Managing Director, FTI Consulting
- Harvey Knight, Partner, Withers LLP
- Penny Miller, Partner, Simmons & Simmons
- Carl Redfern, Compliance Director, Redland
- Charlotte Stalin, Partner, Simmons & Simmons
- Emma Sutcliffe, Partner, Simmons & Simmons
- Sam Tymms, Managing Director, Promontory Group
Key topics are:
- Senior Management Functions and allocating responsibilities
- How does a firm manage enforceable Conduct Rules?
- Duty of responsibility and enforcement issues
- Whistle-blowing and the SM regime
- How will the introduction of the SMR impact the way you run your business in terms of HR practices, reporting lines and organisational structure?
- SMR from the perspective of individual senior managers – what do they need to be aware of?
- Responsibilities of regulated firms under the Certification regime – what will it mean in practice?
- Lessons learned from the introduction of the SMR in the banking sector
- Scope for mitigating personal regulatory risk through insurance
- Practical checklist/guidance for firms implementing the requirements of the SM regime
As demand for attendance at the event is likely to be high, early booking is recommended.
The full event programme and confirmed speakers can be viewed on the event website by clicking the link below.
Delegate Fee: £595 + VAT. Discounted fee with code: £476.00 + VAT
Use the discount code (downloadable below) at the submit payment stage if booking online or email firstname.lastname@example.org or telephone +44 (0) 1932 340115 quoting the code in either instance.
(Includes speaker list, programme, registration fees etc.)