SFE & Addleshaw Goddard LLP Event - Senior Managers and Certification Regime (SM&CR)

Date:     Wednesday 12 September 2018

Time:     8.30am – 10.00am

Venue:  Exchange Tower, 19 Canning Street, Edinburgh, EH3 8EH

The Senior Managers and Certification Regime (SM&CR) was introduced to Banks, insurers and some large investment firms in March 2016 to change how people working in financial services are regulated. With new rules being published in July 2018 and an extension to the regimes coverage being introduced in December 2019 this event will provide an update for what changes your organisation may need to implement.

Addleshaw Goddard's specialist financial services regulatory team has worked closely with banking and insurance clients as they implemented the new regime. With perspectives as former regulators, external advisers and in-house counsel, the team is ideally placed to share its insights with firms now having to plan for the new requirements.

The session will be led by Lorna Finlayson, Partner and Head of Financial Regulation, Scotland and Adrian Dixon, Financial Regulation Compliance Manager at Addleshaw Goddard.

This event will cover the following topics:

  1. The challenges: client experiences since the introduction of SM&CR and implications for firms preparing for the extension of the regime.
  2. SM&CR from an employment perspective.
  3. The in-house perspective: Robin Penfold, Legal Director at Addleshaw Goddard and former Compliance SMF16 shares his personal experience of being an SMF and how his firm prepared for SM&CR.

This is a private event for SFE Members only, however, please pass on to any interested colleagues within your organisation.

To reserve a place please click on the link below.

Register