The Model Office Blog

59 Days to The SM&CR

[fa icon="calendar"] Oct 11, 2019 10:27:06 AM / by Chris Davies

59 days to go until SM&CR day 9th December 2019. How are you getting on with your planning? Our tables below show you what should be covered and what you’ll need to keep under wraps on an on-going basis.

Where you should be:

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If you’ve missed anything, well you still have 59 days to get on track! Below we have examples of how ‘Lifecycling’ can help you move away from checklists towards a holistic system which will ensure you do not miss anything on an on-going basis.

Certification Functions - CFs

Here you really should know who is in and who is out, design an annual programme, identify conduct concerns, training and competency aligns with conduct rules, breaches logged and acted upon and have the legal and business process in place for those leaving CFs.  

Certification Functions assessment process

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Conduct Rules

Clear on-going procedures and monitoring is required across Human Resource strategy to ensure the conduct rules are understood by all and apply to their roles. Breach logs need to be monitored and acted upon with Senior Managers knowing the 3 reasonable steps rules.

Conduct Rule assessment process

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Topics: Financial regulation, Financial business development, fintech, regtech, Risk management, practice management, FCA, advice, HMT, suitability, FAWG, FAMR, MiFIDII, SMCR, Data, GDPR, Chatbot, Culture, Enforcement, supervision, audit, Conduct, AI, Risk,, Accountability, Platforms, PROD, Product governance, digital,, Regulatory, Reporting

Chris Davies

Written by Chris Davies

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