Events

ARDL Seminar: The Senior Managers and Certification Regimes: lessons learned and the proposed extension to all financial services firm

Date: Thursday 2 November 2017 at 5.30pm

Venue: Blake Morgan offices, London  

Speakers: Richard Leiper QC and Thomas Ogg

(Editors of ‘Conduct and Pay in the Financial Services Industry’)

Chair: Richard Coleman QC

Followed by: Discussion, questions and refreshments

 Overview

The ARDL seminar programme continues with this seminar considering the extension of the Senior Managers and Certification Regimes (SMCR) to all firms regulated by the FCA and PRA, in the light of the issues that arose in its implementation within banks and insurers.

The speakers will focus on the new regime to be applied by the FCA to around 47,000 firms in 2018/19, firms, which include asset managers and the large consumer credit sector, and outline the challenges those firms face in implementing the new regime.  The ‘lessons learned’ from the SMCR’s implementation within banks that will be considered, including issues relating the allocation of responsibility amongst senior managers, tricky issues with regulatory references and employee exits, the practical implementation of the certification regime and the way in which the new conduct rules structure the way in which a firm must now think about misconduct.

There will be time for questions and discussion. Refreshments will be served at the conclusion. Demand is expected to be high, so please register your interest as soon as possible.

Chair: Richard Coleman QC [http://www.fountaincourt.co.uk/people/richard-coleman/]

Speakers

Richard Leiper QC specialises in employment, commercial and financial services regulation https://www.11kbw.com/barristers/richard-leiper/

Tom Ogg is a barrister focusing on professional regulation and employment matters in the financial services industry https://www.11kbw.com/barristers/thomas-ogg/ .

Tom and Richard are the Editors of ‘Conduct and Pay in the Financial Services Industry’ (2017, Lloyds Commercial Law Library), which focuses on the SMCR.

Event details:

Date: Thursday 2 November 2017

5.30pm: Registration & tea/coffee

6 -7.30pm: Seminar

7.30pm: Refreshments

Venue: Blake Morgan, 6 New Street Square, London EC4A 3DJ

CPD:1.5

ARDL seminars qualify for CPD. Please remember to sign the relevant CPD sheets at the seminars.

 

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