Senior Managers and Certification Regime: Preparing for Implementation of the Certification Regime and Final Aspects of the Conduct Rules

This event will build on the success of the previous seven summits that C&F has organised on the SMCR. All of these were very well received by delegates, who rated the content and quality of the speakers very highly. This edition of the summit will be delivered virtually, using our bespoke online event platform.

The programme for this virtual summit will focus on the implementation of the certification regime and the conduct rules, as the new deadline of 31 March for the former and for final aspects of the latter is fast approaching. It will also address a number of other critical issues that banks, asset managers and insurers are grappling with as they live with the SMCR on a day-to-day basis. The objective is to analyse all these issues through a combination of presentations and panel discussions.

Partners Louise Skinner, Chris Warren-Smith, and Melanie Ryan will speak on “Managing Conduct Breaches.”

Topics that will be covered include:

• The SMCR: looking forward – the FCA’s perspective
• Lessons from Covid-19 and remote/hybrid working models for SMCR compliance
• Implications of the conduct rules for corporate governance structures
• Conduct rules training and reporting requirements
• Managing conduct breaches
• Investigations & enforcement
• Certification regime – fitness and propriety
• Certification regime – the directory and regulatory references
• Reasonable steps and delegated activities
• The climate change regulatory agenda and the SMCR
• Developing a culture of personal responsibility: key challenges