03
Oct
2019

The FCA’s SM&CR Stocktake: with a few months to go what does it mean for Investment Managers?

14:00

SM&CR FCA webinar

Earlier this year the FCA conducted its first comprehensive review into how SM&CR is working across the banking industry, 3 years on from implementation. The regulator wanted to better understand how the SM&CR has embedded in the banking sector in the 3 years since it was introduced. Investment Managers can learn much from those that have gone before them with SM&CR. 

In particular the FCA reviewed, and this webinar will focus on:

  • Senior manager accountability
  • Certification
  • Regulatory references
  • Conduct rules
  • The impact of SM&CR on culture
  • Unintended consequences
  • Embedding of the regime and overcoming initial implementation issues

Anyone involved in the implementing or overseeing of SM&CR in their organisation.

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