TISA - Tax Incentivised Savings Association - Other Event

SM&CR Certification starts sooner than you think

SM&CR Certification starts sooner than you think

Tuesday 29th January 2019

KPMG, Number Twenty, 20 Grosvenor Street, Mayfair, London W1K 4QJ

Why you should attend
Certification is a new requirement of the Senior Managers & Certification Regime which comes into force for solo-regulated firms on 10th December 2019. The FCA may have given an additional 12 months to fully implement the certification requirements however, in reality, to ensure compliance firms will need to have relevant processes in place from day 1.

The implications of the certification requirements are wider reaching than it first appears with potentially career ending consequences for individuals, putting additional pressure on firms to get it right!

A number of banking firms made the mistake of implementing their certification processes at the end of the additional 12 months period allowed (similar to that given by the FCA). Those firms were then faced with completing the first annual certification assessments with little or no evidence for the preceding 12 months.

This timely and practical TISA seminar will draw on the experience of speakers to explore the key topics listed below and provide opportunity for panel question and debate on how this looks and what it means in practice.

1. Good and poor practice seen in banks (from experience of audit and lessons learned);
2. Implementing the certification regime (lessons learned from experience in banking implementation);
3. Identifying the certification population (required processes and procedures and identifying problem areas);
4. Certification failure (what do you do when you dont want to certify an individual).

Dont delay, start looking at the certification requirements today!


Speakers & Seminar Programme
Confirmed speakers to date include:
  • Peter Ewing, Technical Specialist, FCA 'FCA's expectations of what the certification regime looks like in practice'
  • Max Lewis, Director, KPMG LLP 'Good and poor practice seen in banks (from experience of audit and lessons learned)'
  • David P Mapplebeck, EMEA Chief Administrative Officer, Northern Trust 'Identifying the certification population (required processes and procedures and identifying problem areas)'
  • Neelan Ladva, SM&CR Consultant Steps to take towards implementing the Certification Regime (including practical experience of scoping, solutions and certification vs delegation)
  • Imogen Garner, Partner and Paul Griffin, Partner, Norton Rose Fulbright 'Certification failure (what do you do when you don't want to certify an individual)'

Registration takes place at 13:00, the seminar will commence at 13:30 and conclude at 17:00

Costs
TISA members: 249
Non-members: 399

Available Dates
Location Title Dates  
KPMG, Number Twenty, 20 Grosvenor Street, Mayfair, London W1K 4QJ SM&CR Certification starts sooner than you think 29th January 2019 Book Now