Obligations of Senior Managers

Obligations of Senior Managers

Tuesday 31st January | 10:00 - 12:00 | 2 CPD hours | £250

Webinar Overview

There is ever-increasing focus by the regulators on senior managers to hold them individually accountable for their behaviour and the standards with which they lead their firms. The Senior Managers and Certification Regime is seen as a key element in securing these aims. This webinar is ideal for anyone who holds a Senior Manager Function (SMF) or is in a similar senior position who wishes to get a clear understanding of what the regulators expect from them. This seminar has been designed to help SMFs whose roles are subject to approval to comply with their regulatory obligations.

Topics

• Personal engagement with the regime and obligations under the Conduct Rules
• Attesting to Statements of Responsibility and Prescribed Responsibilities
• Staying fit and proper and keeping up to date
• Leading a team and standing up for what is right
• Managing with skill, care and diligence to ensure the firm meets its regulatory obligations
• Securing a corporate culture which delivers Conduct Rule compliant behaviour
• The challenges of implementing the certification regime
• Dealing with disciplinary issues and severance
• Understanding what are considered to be “reasonable steps” and the protections they afford

Who should attend

This webinar is aimed at all those who are currently in (or who are about to take up) senior management roles, or who are in SMF roles requiring regulatory approval. This includes those who are already or who will become subject to the Senior Managers Regime and senior staff who are or will become subject to Certification.