With SMCR due to start on 9th December for all solo regulated intermediary firms this event will focus on ensuring that you’ve got it right!
The speakers will focus on your plans for implementation (have you identified your Senior Managers and Certified staff correctly and drawn up appropriate Statements of Responsibilities, etc?) and are happy to take questions (ideally submitted in advance) to do with your own firm’s specific issues.
Have you given thought to allocating responsibility for major areas of FCA focus such as pricing, product governance (oversight distribution chain inc ARs and value measures), insurer due diligence, complaints (inc TCF and vulnerable customers), cyber/IT, whistleblowing, HR etc?
An update on key FCA matters will be provided by John King (has just spent 16 years at the FCA in charge of 5,000 GI firms) and Sarah Wallace, a lawyer who specialises in defending prosecutions by bodies such as the FCA who will focus on the people side of enforcement and use examples of previous cases and will emphasise the shift to individuals’ accountability.Event Website