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.
Online
In Person