TISA Webinar
SM&CR – The Final Countdown:
50 working days to go
Date: 30th September 2019
This free webinar provides a whistle-stop tour of SM&CR, looking at the challenges it presents for firms, and also considering learning obtained from the banking sector.
Join Graham Bateman, Regulatory Executive at TISA and Julie Pardy, Director of Regulation and Market Engagement at Worksmart Ltd for a whistle-stop tour of SM&CR looking at the challenges it presents for firms, and also considering learning obtained from the banking sector.
By attending this webinar you will:
- Consider the drivers for the regime
- Look at both the challenges and the opportunities that SM&CR presents for firms
- Gain an insight into the challenges that the regime presented to the banking sector
- Consider the people component and the wider definition of competence
- Understand why the “heavy lifting” around BAU processes sits and plan accordingly
This webinar is brought to you in partnership with Worksmart
AGENDA
Background
- Why the regime has been introduced
- Brief summary of the regime
Senior
Managers
- Challenges & Opportunities
- Duty of responsibility
- Delegations
- Oversight
Certification
- Outputs expected by the Regulator
- The people challenges
- Competence – what’s the definition?
- What options exist for firms in managing an
in-house Certification Regime
Lessons learnt
- Experience gained from the Banking Sectors
- Pitfalls to avoid
