So much regulation. So many changes. So many acronyms! Fear not, we’re here to upskill you and your knowledge, so you feel prepped and ready for the upcoming changes. In 2019 we will be looking at the Senior Manager and Certification Regime, as well as the Insurance Distribution Directive. Two birds, one stone!
This fully interactive workshop will demystify the rules around SM&CR and the IDD, and provide you with information and guidance to ensure your firm fully meets these requirements. It will equip you with the practical tools and knowledge and implement any necessary changes and to minimise any risks within your company from these changes in legislation.
SM&CR is the big regulatory development of 2019. It brings in significant changes for senior managers and advisers and also – for the first time ever – rules for other staff such as administrators. There is a signficant amount work to be undertaken to prepare for the new regulations and firms should be putting together their project plans sooner rather than later.
This workshop covers the core requirements of SM&CR, suggests ways of complying with the new regulations and flags some additional issues that may result from the new rules.
At the end of the course, delegates will be able to:
The event will be hosted by Rory Percival, of Rory Percival Training & Consultancy and Cathi Harrison, Founder & Owner of both Para-Sols and Apricity.
Rory was ‘the face of the FCA’ to advisory firms for many years. He worked at the regulator for 10 years and was involved with many high profile projects such as risk profiling, centralised investment propositions, the RDR, research and due diligence, and the assessing suitability review as well as speaking regularly at conferences. He is also a member of the Personal Finance Society Board.
Cathi is the Founder and Director of Apricity and sister company Para-Sols, an outsourced paraplanning firm. She holds both the Chartered and Certified Financial Planner status as well as being a Fellow of the Personal Finance Society.
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