The FCA recently published CP 17/40, CP 17/41 and CP 17/42 in connection with the extension of the Senior Managers and Certification Regime. Two of the CPs focus on transitional arrangements and the third on the Duty of Responsibility. With their publication, those financial institutions that will come within the  ambit of the SMRC for the first time now need to ensure that they are fully conversant with what is expected of them and that their implementation projects will enable them to meet their requirements in good time.

This summit will assist firms with this process. It will be highly interactive event and will incorporate the use of ‘Slido’ technology to facilitate audience participation in terms of posing questions and suggesting areas that speakers should address in their presentations. The objective is to make the event very practical so that delegates can get the answers to their specific questions.

This event will build on the success of the two summits that City & Financial have organised last year on the extension of the SMCR. Both of these were very well received by delegates, who rated the content and quality of the speakers very highly.

We are delighted that David Blunt, Head of Conduct Specialists, FCA, has kindly agreed to give the keynote address at the summit.

The summit will address the needs of c-suite executives in those institutions that are due to fall within the ambit of the extended regime, including investment firms, financial advisors, trading firms, insurance companies and consumer credit firms. The summit will also be of particular interest to heads of compliance, heads of operations, heads of legal, heads of internal audit and heads of training and education, as well as members of the advisory community, such as lawyers and accountants.

The programme will tackle the key issues from a very practical perspective and will include the following issues: