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Financial Conduct Authority-Senior Managers and Certification Regime

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Financial Conduct Authority-Senior Managers and Certification Regime




Are you ready?

The Senior Managers and Certification Regime (SM&CR) introduces changes to how the FCA regulate authorised businesses.  It is due to commence on 9th December 2019.

 As the FCA states: “The SM&CR is a catalyst for change – an opportunity to establish healthy cultures and effective governance in firms by encouraging greater individual accountability and setting a new standard of personal conduct”.

 The FCA’s aim is to reduce harm to consumers and to strengthen market integrity through:

-          Encouraging staff to take personal responsibility for their actions;

-          Improving conduct at all levels; and

-          Ensuring firms and staff “clearly understand and can show who does what”.

 Breach may lead to personal FCA liability, are you prepared?

FCA expert solicitor Andrew Swan and his team are doing a free presentation outlining the practical steps you need to take to ensure compliance. 

This seminar applies to all FCA regulated businesses.

We would love you to join us on the 24th of September, for this free event.  It runs from 8am (with free breakfast) until 10.30 am at the Northern Counties Club, 11 Hood Street, Newcastle upon Tyne.

 Save your seat!

 Tickets are limited on a first come first served basis, so make sure you register ASAP.

 See you there!
Ticket Information Ticket Price
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Map Northern Counties Club, 11 Hood Street, Newcastle upon Tyne, United Kingdom
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