Financial Services Regulation and the SMCR for HR Specialists


Financial Services Regulation and the SMCR for HR Specialists

Tuesday 29th November| 10:00 - 12:00


Webinar Overview

This seminar has been designed primarily for human resources specialists. It is intended to explain the implications of working in a regulated environment and to address those aspects of the regulatory regime which have a direct impact on the HR function, with a particular emphasis on the Senior Managers and Certification Regime. The style of the webinar is to focus on the practicalities of meeting the regulatory obligations.



  • The UK financial services regulatory framework and the role of HR
  • The regulatory requirements governing people
  • Governance, Senior Management Arrangements, Systems and Controls
  • The Senior Managers and Certification Regime
  • Recruitment and Initial Fit and Proper Assessment
  • Achieving and Maintaining Competence and Fit and Proper Reassessment
  • Discipline and Departures
  • Other practicalities
  • Culture and people risk


Who should attend?

Although targeted primarily at HR professionals who are new to financial services and its regulation, this webinar is also appropriate for more experienced practitioners who are seeking a refresher and update about the regulatory requirements. The webinar would also benefit operational managers who are assuming HR responsibilities and who need to understand how these can be undertaken effectively whilst meeting regulatory obligations. This event is equally appropriate for staff from firms which are either solo regulated (FCA) or dual regulated (PRA and FCA).

Training and Venue Information

CPD Authorised Yes
Event Date 29-11-2022
Event End Date 29-11-2022
Event Time 10:00 - 12:00
Price £250.00
£250.00 1000