Preparing for the Senior Managers and Certification Regime

UK Senior Managers Regime

*** This event is now fully subscribed. For further information on our training schedule please contact Adam Jacobs-Dean ***



“We see personal accountability as fundamental to the future of financial services.”

‘Where next for investment and asset management regulation?’ September 2017, by Megan Butler, FCA’s Executive Director of Supervision - Investment, Wholesale and Specialists 

The new Senior Managers and Certified Persons Regime when applied to investment firms will increase levels of exposure to personal risk.  For many organizations, strategic change is needed to meet the new requirements.  Join us for our half day course to help you benchmark your firm’s preparations for the new regime with what the regulators expect at this stage. All those who will become Senior Managers under the new regime need to ensure that they are adequately supported by able staff, and that their firms start to consider the regime’s likely impact. By participating, you will identify key risks and action points to ensure the effective implementation across your organization of the regime once it comes into force next year.

Who should attend

  • Senior Managers and those who support them including staff in Legal,  Compliance,  Human Resources and Operations roles

Please see below for a full overview of the session.