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Conduct Essentials: Getting Comfortable with the New SM&CR Regime
A few weeks ago the FCA issued a reminder to authorised firms that they need to start preparing to be ready for the new regime coming into effect on 9 December 2019. The aim of SM&CR, the regulator says, is to 'establish healthy cultures and effective governance in firms by encouraging greater individual accountability and establishing a new standard of personal conduct'.

Increasingly the regulator is looking beyond accountability and is now focusing on leadership skills as a way of assessing Senior Manager performance. This includes the way leaders build a culture of aspiration and diligence, rather than one of fear and paralysis in order to foster the right conduct by employees throughout the firm.

In this FREE 60 min webinar we discuss with conduct experts Roger Miles and Patrick Butler:

• The critical role of leadership in improving conduct and changing culture
• Defining what ‘good’ culture and conduct look like from the regulator’s perspective
• Identifying both positive and negative conduct and culture indicators in your firm
• How your firm can measure culture and report it
• How your firm can turn SM&CR into a source of competitive advantage and sustained profitability

May 21, 2019 12:00 PM in London

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Dr. Roger Miles
Dr. Roger Miles counsels the Boards of public- and private-sector organisations and teaches behavioural risk at postgraduate level. In commercial practice, he develops tools for better analysis and reporting of behavioural risk, mainly in regulated financial markets. He is co-founder and Faculty Lead at UK Finance’s Conduct Risk and Culture Academy. At Cambridge, he is a visiting lecturer for the Centre for Compliance and Trust at JBS, and researches the regulation of conduct, culture and reputation risk in financial markets.
Patrick Butler
Patrick Butler is co-founder of the Conduct and Culture Academy at UK Finance and founder of Calitor Limited. A former Diplomat, Investment banker, Operating Officer, Head of Compliance, he now advises and coaches senior management and future leaders to enhance behavioural understanding underpinning practical solutions to meet the changing regulatory landscape and build competitive advantage.