The Senior Managers and Certification Regime – HR aspects – are you up to speed?


We will be holding the fourth and final webinar in our series "The Senior Managers and Certification Regime - HR impact - are you up to speed?" on Wednesday 24 October 2018 12:15 – 13:00 (UK time) in which we will consider the impact of the SMCR on exits.

The termination of a relationship to which the SMCR applies triggers a number of actions for a firm’s HR, legal and compliance functions. We will consider the key regulatory considerations around exits, both those that are contentious and those that are amicable, including:

  • the steps a firm could take at the outset of the relationship that will strengthen its position when it comes to termination;
  • reallocation of senior manager responsibilities;
  • handover issues in relation to senior managers and certified and conduct staff;
  • discussions around settlement and negotiating compliant terms.

We will also cover a number of case studies looking at practical points such as:

  • the impact of regulatory notifications on settlement negotiations and ensuring consistency of message across firm functions;
  • dealing with regulatory reference requests where there are performance or conduct issues;
  • balancing the obligations to the firm’s staff and the regulators.

This webinar will be useful both for those getting ready for the regime and those already operating in it; we very much hope you will be able to join us. If you would like to register, please click here.