Please join us for an interactive roundtable on the Senior Managers & Certification Regime (SMCR).
With the help of case studies, we will:
- provide a brief refresher of the Conduct Rules and their practical application to Senior Managers and Conduct Rule Staff, and
- discuss how firms should deal with breaches of the Conduct Rules and manage internal investigations, disciplinary processes and their regulatory reporting obligations.
We hope that you can join us.