The implications of moving SIMR to SM&CR

The Old Library, Lloyd's
Wednesday, 08 March 2017
1:15 pm – 2:00 pm (UK time)
    • Charles Cattell ACII, Chartered Insurance Practitioner, Partner, The Cattellyst Consultancy
  • London Market

In this IIL Lloyd's Market lecture Charles Cattell addressed the regulatory impact on professional and managerial staff as firms prepare for the implementation of the full Senior Managers and Certification Regime (SM&CR).

As the profession moves towards the full implementation of SM&CR for all firms, now is the time to start considering the likely implications and to begin preparations for addressing this renewed focus on individual accountability. This session looked at the standards demanded of all staff by the Code of Conduct both in terms of personal behaviour and the approach to managing others, including what it will be mean to confirm fit and proper status annually. The session also explored how individual accountability both shapes and reflects the culture of the firm and the approaches taken towards mitigating conduct risk.

By the end of this lecture members will have gained an insight into:

  • Key changes which will result from the implementation of the full SM&CR
  • The nature of regulatory oversight over individual professionals and managers
  • How personal behaviour impacts on the organisational culture of firms and the mitigation of conduct risk

Speakers Bio:
Charles is a competence and compliance consultant and trainer. He advises and develops financial services clients about the human aspects of regulation with a particular focus on governance, managing conduct risk and securing an ethical culture.

Simon Graham, Director of Learning & Development, CII.

  • The Old Library, Lloyd's
  • One Lime Street
  • London
  • EC3M 7HA
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