Employment law webinar: Senior Managers and Certification Regime (SMCR)

On Tuesday 23 March our experts Olivia Toulson and Clare Barlow discussed Senior Managers & Certification Regime (SMCR), which is now is applicable to all firms authorised and regulated by the FCA or the Prudential Regulation Authority.

Olivia looked at the structure and shape of the regime and how it impacts the employment lifecycle; from hiring individuals, managing performance and disciplinary issues and recognising Conduct Rule breaches, through to issues that arise on termination. She also covered regulatory references and the issues surrounding those.

Throughout the webinar Clare posed questions to Olivia that had been submitted both live and prior to the webinar.

Here are the timestamps to guide you through this webinar:
1:06 Introduction
3:01 Birketts at a glance
3:19 Your speakers
5:31 Session aims and objectives
6:44 What are we covering in this webinar?
7:15 What are the key points?
14:37 Process for submitting a request
16:51 Key points on hiring
18:38 Fitness and propriety - what's involved
19:13 Where to look
23:05 How to certify
26:07 What if an application is refused?
27:35 Conduct rules at a glance
28:48 Individual conduct rules
30:16 Senior manager conduct rules
31:47 Conduct rule breaches
35:45 Conduct or Fitness and Propriety?
38:00 Poll
44:03 Disciplinary processes
47:19 Disciplinary sanctions - extra considerations
55:28 Regulatory references
57:00 Questions

Disclaimer: Please note that content and advice provided is correct as of date of recording.

Meet our experts:
Clare Barlow: https://www.birketts.co.uk/our-lawyer...
Olivia Toulson: https://www.birketts.co.uk/our-lawyer...

Sign up to future webinars: https://www.birketts.co.uk/events​​​

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