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Introduction to Speakers and the Webinar

Introduction to Speakers and the Webinar

 

 You can download a full copy of the slides from this webinar. 

 

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Full transcript available below:

Welcome and thank you for joining today's webinar hosted by me, Bethany Sirven of MyComplianceOffice, and Gregory Brandman and Simon Collins of Eversheds Sutherland. Gregory is a partner in Eversheds Sutherland's Financial Services Disputes and Investigations team in London. He previously worked in the Enforcement Division of the Financial Services Authority. Greg represents firms and individuals who are under investigation by the FCA and the PRA for regulatory misconduct and market abuse. He is also a skilled 166 FSMA skilled person.

Simon is Managing Director of the FS Regulatory and Compliance Practice with Eversheds Sutherland Consulting. Over the past 25 years he has been advising a range of financial services firms including banks and major financial institutions on regulatory matters, specializing particularly with culture, government systems, and control of conduct in operational risk areas. Simon has significant experience of assisting firms with the implementation of the senior managers and certification regime. Simon is a skilled person on the FCAPRA Skilled Person Panel for Governance. Please note that the slides from today and the recording of the webinar will be made available on our website. You will also receive an email from us in the coming days with a link to download these resources. I'm now passing you on to Greg who's going to start today's webinar.

Thank you Bethany and good afternoon everyone. Welcome to this MCO webinar on the introduction to the extended senior managers and certification regime and the new conduct rules. Thank you for joining us today. There's quite a lot of ground to cover in a limited amount of time, so we will make no apologies for moving briskly. In terms of what we're going to cover today, we'll give you some brief background to the proposed new regime. Of course, this is a regime that's already been rolled out across the banking industry in the UK and PRA-regulated investment firms. We'll look at what this new regime is that's going to be extended now to the rest of the UK financial services industry, what it is, and what's going to change. We'll give you an overview of the new requirements and the core constituent elements of the regime, which breaks down [inaudible 00:04:59] between the regime for senior managers, a regime for certification staff, and some new conduct rules.

Then my colleague Simon Collins who leads our FS Regulatory Practice will talk you through issues around implementing the regime. We've worked with a number of banking clients over the last couple of years around implementation. There's lots of lessons learned and pitfalls and observations across some of the issues that can be accounted in practice, which we think could be helpful to share with you, at least at a high level today. Simon will walk you through all of that, as well as some practical advice around implementation and next steps. Moving on, I'll hand over to Simon now to talk to you about why we are where we currently are.

 

 

Download our whitepaper "Senior Managers and Certification Regime. How to Prepare Your Organisation"

 

This webinar was co-hosted with Eversheds-Sutherland www.eversheds-sutherland.com

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