While there’s a huge amount of information and resources out there on SMCR, there’s surprisingly little practical guidance when it comes to actually implementing it.

Led by two experienced regulatory compliance consultants, our workshop will provide you with practical tools, guidance and examples to help you navigate and successfully implement the regime at your firm. 

Tuesday 17th September, 09:00am – 1:15pm 

The workshop will be held in London, EC3 and spaces will be limited to 12 delegates per workshop.

What the course covers

Who should attend

Benefits

Registration

To register for the event please use the form. The fee for the course is £425 + VAT. The fee covers all course material and refreshments, including lunch where you will have the chance to network with your peers and further discuss SMCR with the trainers. Organisations booking two or more delegates will receive a 10% discount. 

You will be sent an invoice within seven days of your attendance being confirmed. Payment will be required to confirm your place on the course.

Who should attend

Each half day workshop will have a maximum of 12 delegates to ensure you have sufficient opportunity to raise questions and be able to cover the topics in depth.

The course is suitable for people working in Business, Risk, Compliance and HR, across all financial services sectors, tasked with implementing SMCR and putting in place the procedures, processes, systems and controls you need to remain compliant.

What the course will cover

The workshop will be structured into five sessions: 

  1. Implementation for Senior Managers including the identifying and categorising SMFs, putting together your responsibilities framework and duty of responsibility, and how to create and work through your project plan 
  2. Implementation of the Certification Regime, looking at how you identify your Certification staff, Fitness and Propriety Assessments, Regulatory references and guidance on working through the certification process
  3. Conduct Rules - what they are, how tier 1 and tier 2 rules differ, your training requirements and how to record and report breaches
  4. A discussion and insight into some of the challenges you may face based on the experience of dual regulated firms (Banks, Insurance Companies etc.) as well as specific challenges for the different actors involved in implementation including CEOs, Compliance Officers and HR Managers 
  5. What happens after implementation - what the FCA expect you to do to meet the ongoing requirements of SMCR

Benefits of Attending

  • First hand insight from experienced regulatory compliance consultants that understand SMCR
  • Tips, tools and examples to guide you through the implementation process and overcome potential challenges
  • Develop an understanding of the key success factors for successful implementation
  • Your personal copy of our SMCR Implementation Guide and access to our online SMCR Toolkit, that provides a suite of advisory guides and templated policies, registers and other documents that can be easily adapted for your firm
  • Free 30 minute follow up telephone meeting with one of specialist consultants to answer follow up questions you may have that are specific to your firm 
  • Network with peers and exchange knowledge and experience 

Book Your Place