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SM&CR – The Fundamentals
With only 7 months before SM&CR goes live, PIMFA members would be well advised to refresh their understanding of their responsibilities as well as familiarise themselves with PIMFA latest guidance to firms on SM&CR. In this FREE 60 minute webinar with associate member firm Worksmart, we provide you with a:

• Quick reminder of why the regime has been introduced
• An overview of your senior managers responsibilities
• The expectations of the regulator
• The common challenges that firms are facing
• How to avoid common pitfalls
• How to evidence and demonstrate employee skills and competence

Jun 4, 2019 11:00 AM in London

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Speakers

Julie Pardy
Director of Regulation and Market Engagement @Worksmart
With approaching 30 years service in the Financial Services industry Julie has spent many years at the coal face undertaking a wide variety of roles in banking from Compliance to Sales, Operations to Training. With the wealth of experience picked up along the way, Julie uses this to help customers meet and manage their people related regulated responsibilities.
Ian Cornwall
Director of Regulation @PIMFA
Ian is Director of Regulation at PIMFA. His role entails constant contact with the UK regulator, the FCA at all levels and other organisations such as HM Treasury, Financial Ombudsman Service and the Financial Services Compensation Scheme. He is involved all areas of policy development and provides regulatory support to PIMFA’s member firms.