Preparing for the Implementation of the Certification Regime

Monday 22 February 2021 |
 9:20 am
 – 4:30 pm


Monday 22 February 2021

Start Time:  

9:20 am


Event promoted by: Worksmart –


City & Financial are running a virtual conference on 22nd February on the Senior Managers and Certification Regime.


The conference is particularly timely as solo-regulated firms make their final preparations for the implementation of the Certification Regime and Conduct Rules on 31st March.


We are delighted to be sponsoring, exhibiting and speaking at this important conference alongside some key speakers including David Blunt, Head of Conduct Specialists at the FCA.


Alongside the implementation of the Certification Regime and the Conduct Rules, the conference 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. These issues will be covered through a combination of presentations and panel discussions.


To find out more and register, visit this page.


Note: We would respectfully draw delegates attention to the fact that this session will be held under the Chatham House Rule.


9:20 AM  –  9:30 AM        Session chair’s opening remarks


9:30 AM – 9:50 AM          Keynote Address: The SMCR – looking forward


9:50 AM – 10:30 AM        Lessons from Covid-19 and remote/hybrid work models for                                                                          SMCR compliance


10:30 AM – 10:40 AM     Audience Q&A session


10:40 AM – 11:25 AM  Networking break


11:25 AM – 11:35 AM      Session chair’s opening remarks


11:35 AM – 11:55 AM      Conduct rules: Corporate governance, training and                                                                                           reporting requirement


11:55 AM – 12:15 PM       Managing conduct breaches


12:15 PM – 12:35 PM       Investigations & enforcement I – Internal


12:35 PM – 12:55 PM      Investigations & enforcement II – External


12:55 PM – 1:05 PM        Audience Q&A session


1:05 PM – 2:05 PM      Networking break


2:05 PM – 2:15 PM          Session chair’s opening remarks


2:15 PM – 2:35 PM          Certification regime – fitness and propriety


2:35 PM – 2:55 PM         Certification regime – the directory and regulatory references


2:55 PM – 3:15 PM         The climate change regulatory agenda and the SMCR


3:15 PM – 3:35 PM         Reasonable steps and delegated activitites


3:35 PM – 3:45 PM        Audience Q&A session


3:45 PM – 4:25 PM        Developing a culture of personal responsibility: key challenges

.                                           Panel:

                                            Kat Klehr, Head of Compliance Advice, Shawbrook Bank Limited
                                            Richard Sidonio, Senior Manager, Compliance, Macquarie
                                            Dirk Young, SMCR Lead, Jupiter AM
                                            Speaker tbc, HSBC Bank Plc


4:25 PM                           Close of proceedings

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