SMCR 2020: Implementing and Maintaining the Certification Regime

Early in the outbreak of COVID-19 the FCA made clear that they expected firms to continue with their implementation of SMCR. For Investment Managers that means the Certification Regime. In this webinar two experts from Baringa Partners, alongside the IA, will outline the key requirements on firms and the operational challenges that will need to be overcome. In particular this will include:

• Identifying and, perhaps more importantly, maintaining, the Certification population
• What constitutes a Fit and Proper assessment, and what different methods are available to you
• How do you ensure sufficient scrutiny of the population and certification itself
• Approaches to individuals who fail certification or lose fitness and propriety
• Do conduct breaches invalidate certification?
• Embedding certification in your HR processes for recruitment, on-boarding and performance management