We are delighted to join Dentons in hosting a briefing on the Senior Managers and Certification Regime on Tuesday 13 November 2018.

While the central concepts of the regime are easy to grasp and familiar to most, the devil is, as always, in the detail. Concepts such as the ‘duty of responsibility’, and the resulting personal liability that senior managers will take on under the new regime, will not sit well with all. Add in a significant dose of process and admin as well as factoring in the inevitable HR legal considerations, and it is easy to see that your firm’s SM&CR project will require a significant amount of planning and effort.

Dentons’ Katharine Harle and Celyn Armstrong have teamed up with Bovill’s Prem Griffith, to deliver a joint seminar on the new regime and explore some of the most challenging topics you will need to consider and address as part of your implementation project.

Areas we will look to explore in this session include:

  • Working out who is ‘ultimately responsible’ for XYZ.
  • How to articulate responsibilities clearly and succinctly.
  • What are ‘reasonable steps’ and how do you evidence them?
  • Why might a core firm ‘opt up’ to enhanced SM&CR status?
  • What are the key challenges of the Certification Regime?
  • How to handle conduct or performance issues under the new regime.
  • Conduct rule breaches and regulatory referencing.

Tuesday 13 November 2018
Morning session: 8.30am – 10.10am
Afternoon session: 5.00pm – 6.40pm

One Fleet Place
London EC4M 7RA | Map

Click here to register for this event, or speak with Prem if you have any further questions.

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13 November 2018 (iCal | GCal)

Dentons UK and Middle East LLP

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