SMCR implementation: The Final Countdown, are you ready?

Calls will take place every Friday at 12.30pm GMT, commencing 14 June for approximately 30mins.

 Date                          Topic
Friday 14 June 2019  Recap - All you need to know, but were too afraid to ask about SMCR
- an interactive session; submit questions via email here in advance and during the session
Friday 21 June 2019  Roles & Responsibilities & how to complete SoRs
- a practical session with our team of experts working through:
- statement of responsibility
- how to allocate prescribed responsibilities
- overall and other responsibilities; and
- supplementary information
Friday 28 June 2019  Difficult issues for smaller asset managers
- interpretation and application of the partnership rules
- core firm proportionality for our smaller asset managers; and
- issues for our US asset manager population
Friday 12 July 2019

 Certification Regime
- how to allocate the client dealing function, managers of certified people, material risk takers and algorithmic traders

Friday 19 July 2019

 Culture and Conduct Rules
- best practice in who and how to deal with conduct rule breaches including non financial conduct
- SMCR and culture 

Friday 26 July 2019  FAQ for Senior Managers including how to evidence reasonable steps
- an outline of the key questions we are seeing from the Senior Manager population and how to answer them

Please note the calls will take place using our webcast platform ON24, you will need an internet enabled device in order join. All calls will be recorded and be available on demand.

Event contact

Andreia Aguiar
Senior Business Development Executive

T +44 20 7825 4526 or