With just over eight months to go, it’s time to make sure your SM&CR project is motoring. And for firms with a less complicated structure it’s still possible to put in place a decent plan if things haven’t really got started.
Wherever you are in your project, with time this tight you’ll need to make sure you stay on the road. During our March briefing, we looked at some of the areas where you could end up in a ‘car crash’ and how to avoid them. Among the hazards are:
- Allocating responsibilities – How should you approach this to make sure you address areas like product governance and conflicts of interest? How much accountability should sit with the CEO and how will you align the statements of responsibility to MiFID II requirements?
- Client dealing function – How do you practically decide who should be captured in your firm?
- Evidence of reasonable steps – And if the car crash happens, how do you show you did everything you could to prevent it?
To find out more information about any of the topics covered or to request a copy of the slides please get in touch at firstname.lastname@example.org.
Bookings are closed for this event.