Lunchtime CPD Networking - 13th November 2019 - Senior Management & Certification Regime - What it Means for Brokers
Presentation Overview:
The presentation will set out the rationale for the roll out of the new regime to brokers and what it hopes to achieve. It will provide a high level view of the requirements and a checklist of actions you should be taking to comply with these requirements.
Speaker:
Debbie St Cyr, Head of Compliance Insight & Assurance, Ageas.
Debbie has over 30 years’ experience in financial services with almost 25 years in compliance. Her role includes analysing new legal and regulatory developments from the UK, Europe and other international bodies; including the direction of travel.
She has been a member of the ABI Conduct Regulation Committee for over 5 years and was a member of ILAG’s regulation Committee for almost 20 years. She was awarded ILAG’s Practitioner of the Year in 2012.
Venue:
Hallmark Hotel Bournemouth Carlton, East Overcliff, Grove Road, Bournemouth BH1 3DN
The Institute is charged by bookings not attendees so if you cannot make it please cancel your booking or email bill@ifa.eu.com
Limited free car parking is available directly at the venue. Should the car park be full, please feel free to park at Hallmark Hotel Bournemouth East Cliff which is adjacent to the Carlton Hotel.
Please log in your registration number at Reception.
Audience:
The session is aimed at all CII/PFS members or guests who would like to find out what SM&CR (Senior Management & Certification Regime) is and understand how it is changing the way people who work in financial services are regulated.
Learning Objectives:
At the end of the session, attendees will be able to identify the key elements of the SM&CR regime that apply to brokers. This will enable firms to work out what actions will need to be taken for Compliance with the regime when it comes into effect on 9th December 2019.
If you have any special requirements e.g. regarding diet, access, hearing etc., please let us know when booking your place.
A certificate of attendance is available online to download after you complete the online post event survey.
Please ensure your email address is kept up to date with the CII website and that you allow the local Institute to contact you.
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Venue
- Hallmark Bournemouth Carlton
- East Overcliff
- Bournemouth
- BH1 3DN
CII Accredited
This demonstrates the quality of an event and that it meets CII member CPD scheme requirements.
1 hour's CPD can be claimed for this event if relevant to your learning and development needs.
It is recommended that you keep any evidence of the CPD activity you have completed and upload copies to the recording tool as the CII may ask to see this if your record is selected for review. Details of the scheme can be viewed online at www.cii.co.uk/cpd.