Fit and Proper requirements are a cornerstone of the Financial Conduct Authority (FCA) Senior Managers and Certification Regime (SMCR) and other global accountability frameworks. For financial institutions, these regulations are not merely a compliance check—they demand ongoing assessments of employees’ honesty, integrity, competence, and financial soundness.
Yet, implementing these requirements effectively is often challenging. The need for robust governance frameworks, ongoing assessments, and adherence to ever-evolving regulations can overwhelm even the most seasoned compliance teams. Fortunately, advancements in the latest technologies are beginning to streamline these processes, enhancing efficiency and accuracy in compliance efforts.To explore the current landscape of Fit and Proper requirements, discuss challenges, and share practical solutions, A-Team is hosting its webinar on “Ensuring Compliance with Fit and Proper Requirements” on September 17.
In this webinar, we’ll dive deep into the latest best practices and innovative technologies that are transforming SMCR compliance. Our experts will provide actionable insights, ensuring you leave with practical to enhance your firm’s compliance efforts.
You’ll hear from Matthew Harris, Head of Regulatory Conduct at Howden, who brings extensive experience in leading firms through regulatory changes to achieve compliant and efficient outcomes.
Sinead Eagan Product Manager at MyComplianceOffice (MCO) joins Mathew and brings over 30 years of expertise in compliance, risk management, and financial services.
Leslie Coombs, Director of the UK Senior Managers and Certification Regime (SMCR) at Citi. Leslie has over 25 years of compliance, consulting, internal audit, and program management experience, previously holding the following certifications: Certified Internal Auditor (CIA) and Certified in Risk Management Assurance (CRMA).
Leslie shared this insight with prospective attendees:
“Ensuring that your employees meet Fit and Proper standards is not just about ticking a regulatory box—it’s about fostering a culture of integrity and accountability. The challenge lies in making these assessments a seamless part of your compliance processes, and that’s where emerging technologies are playing a crucial role.”
Don’t miss out on this opportunity to learn about the best practices for meeting Fit and Proper requirements and the significant benefits of getting it right.
- The details of Fit and Proper requirements under the SMCR and other global frameworks
- Best practices for implementing robust governance and compliance frameworks
- How to ensure ongoing assessments and compliance in a dynamic regulatory environment
- The role of emerging technologies in streamlining Fit and Proper processes
- The operational and reputational benefits of maintaining high compliance standards
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