THIS EVENT IS FREE FOR TISA MEMBERS / SPECIAL NON-MEMBER RATE OF £199 (NORMALLY £399)

The extension of SM&CR to solo regulated firms is arguably the biggest change to firms since FSMA, affecting almost everyone in financial services.

With 1 month to implementation many firms will be focusing on having all relevant processes in place to ensure compliance with the regime. By attending this forum, delegates will benefit from speakers’ own experience on their key challenges and areas to focus on outside of broad ‘compliance’.

Attending will provide insight into:

Who should attend this event:
Individuals responsible for implementation, conduct monitoring, risk management, HR and creating or running conduct compliance and assessment processes.

 

This event is sponsored by Worksmart