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  • Extension of SMCR: Identifying senior managers and related challenges Restricted access

    Webinar

    Submitted: 22 November 2017

    Download the slides and watch our recent webinar on-demand. This session had a particular focus on tricky issues such as extraterritoriality, how to manage your existing SIF population and statements of responsibility. It also covered the duty of responsibility and how to take reasonable steps, and how to create clear reporting lines. You will also receive a helpful reminder of the relevant provisions in the draft rules (including relevant comments for insurers).

  • Extension of SMCR: Response to Consultation Papers Restricted access

    Webinar

    Submitted: 08 November 2017

    Watch our recent webinar on-demand - Hear specific practical and legal issues from industry as well as our thoughts on the SMCR consultation papers as we cover the main points we have made to the FCA in our response (including relating to insurers).

  • Extension of SMCR webinar series Restricted access

    Webinar

    Submitted: 24 October 2017

    This webinar series covers a broad range of topics around the Extension of the Senior Management and Certification Regime (SMCR). Topics covered include the response to Consultation Papers, identifying senior managers and related challenges, identifying Certification staff and related challenges, preparing for Conduct Rules and the duty of responsibility in practice.

  • Extension of SMCR: Identifying Certification staff and related challenges Restricted access

    Webinar

    Submitted: 24 October 2017

    Watch our recent webinar on-demand - This SMCR webinar covers the categories of staff which fall within the ambit of the certification regime under the draft rules, identifying some of the obvious and less obvious categories including your CF30 customer facing function and their managers.

  • Extension of SMCR: Preparing for Conduct Rules Restricted access

    Webinar

    Submitted: 24 October 2017

    Watch our recent webinar on-demand - Learn about the SMCR Conduct Rules and what firms should do now in preparation for these, including identifying how the application of the Conduct Rules affects many aspects of business and HR processes in particular.

  • Extension of SMCR: Duty of responsibility in practice Restricted access

    Webinar

    Submitted: 24 October 2017

    Watch our recent webinar on-demand - Gain a practical overview of the duty of responsibility under SMCR, including by reference to existing guidance from the FCA as well as guidance on the senior managers Conduct Rules.

  • Extension of SMCR: Identifying Certification staff and related challenges

    Webinar

    Event date: 29 November 2017

    This webinar covers the categories of staff which fall within the ambit of the certification regime under the draft rules, identifying some of the obvious and less obvious categories including your CF30 customer facing function and their managers.

  • Extension of SMCR: Duty of responsibility in practice

    Webinar

    Event date: 13 December 2017

    This webinar gives a practical overview of the duty of responsibility under SMCR, including by reference to existing guidance from the FCA as well as guidance on the senior managers Conduct Rules.

  • Extension of SMCR: Preparing for Conduct Rules

    Webinar

    Event date: 06 December 2017

    This webinar looks at SMCR Conduct Rules and what firms should do now in preparation for these, including identifying how the application of the Conduct Rules affects many aspects of business and HR processes in particular.

  • Hong Kong SFC issues guidance on valuations in corporate transactions

    Article

    Submitted: 26 May 2017

    Summary on Hong Kong Securities & Futures Commission's guidance on valuations in corporate transactions.

1 to 10 of 137