Certification under the Microscope


The Senior Managers & Certification Regime is a complex regulatory change that will affect all Investment Management firms from the 9th December 2019. Most firms report to us that their preparations are well under way in respect of meeting the deadlines for the initial Senior Management element of the new regime. However, feedback tells us that firms are less confident about the new Certification Regime that must be implemented within every Core and Enhanced Firm under SM&CR.

In response to this feedback, we have put together a very practical look at Certification, that will cover scope, the actual assessment of competence, training and regulatory and implementation timelines. Coupled with a look back at lessons learnt from the Banking Regime and pitfalls to avoid, this webinar is a “must watch” for those firms planning their approach to Certification.


  • Consider the scope of Certification and which roles typically will be covered
  • Discuss the people rule books that will impact how Certification will run in practice
  • Define an approach to the training requirements that implementing Certification will bring
  • Consider the regulatory timelines and how a firm might build and align internal processes accordingly

The content will appeal to individuals from HR, Compliance, Legal, Operations and Risk.

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