Senior Managers & Certification Regime Briefing

17/04/19

This seminar has been designed to provide an update on the Senior Manager & Certification Regime (SM&CR), from a regulatory and human resources perspective; and will provide further information to help you prepare for the extension of the Regime by the Financial Conduct Authority (FCA), ahead of 9th December 2019.

The Senior Managers & Certification Regime (SM&CR) aims to reduce consumer harm and strengthen market integrity by strengthening individual accountability in financial services

The Regime is being extended to all solo FCA regulated firms, effective 9th December 2019. It will affect all firms authorised under the Financial Services and Market Act (FSMA) and regulated by the FCA.

There have been many lessons learnt since the SM&CR was first introduced in 2016 to deposit takers and investment firms’ dual regulated by the FCA and PRA.

There are three main parts of the SM&CR:

1) The Senior Manager Regime;

2) The Certification Regime and

3) Conduct Rules.

Details of the event being held in PwC's Spinningfields Office are below:

Tuesday 30 April 2019
Location: PwC Manchester Office, 1 Hardman Square, Manchester, M3 3EB
Timings: 8.30am - 9.00am - Registration including breakfast
9.00am - 11.00am - Seminar including plenty of time for questions and answers

To register for the event please click on this LINK.

 

 

 

Contact us

General Enquiries

North West, PwC United Kingdom

Tel: +44 (0)161 245 2000

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North West, PwC United Kingdom

Tel: +44 (0) 7841 468 175

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