Is your firm ready for the senior managers and certification regime?
Leeds | 8 October London | 10 October
The senior managers and certification regime (SM&CR) will be rolled out for all regulated firms on 9 December. Whether you're about to finalise your preparations or you still have a way to go, financial planning firms need to understand what's required to make sure they're ready.
To help firms prepare in the final months before the regime is introduced, we've teamed up with Cathi Harrison, founder and director of Apricity, to run a masterclass on SM&CR. This masterclass will take a deeper look at the regime, particularly its impact on adviser firms and their obligations to make sure they're compliant by 9 December.
Cathi is the founder and director of Para-Sols, an outsourced paraplanning firm and sister company, Apricity Compliance. She has been in financial services since leaving university and holds both chartered and certified financial planner status as well as being a fellow of the Personal Finance Society. Cathi splits her time across both companies - supporting her team and clients on a daily basis, managing the strategy and focusing on the growth for both Para-Sols and Apricity as well as championing female leadership within, and external to, financial services.
Spaces for this masterclass are limited and will be offered on a first-come, first-served basis.
By the end of this session you should…
1. Understand the new FCA Rules and their importance
- 2. Understand what steps to take to meet the rules
- 3. Have good practice ideas to consider
With each masterclass you get
Value for time
No product push
A top class speaker
Each masterclass session lets you collect up to three hours of CPD as well as a very tasty lunch.
When and where…
8 October 2019
10 October 2019
Etc. venues Monument