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Past Event
2 September 2015


  • Alexandria Carr
    T +44 20 3130 3398
  • Mark Compton
    T +44 20 3130 3388

Guidance on the senior managers’ regime, the certification regime and the conduct rules

Alexandria Carr, a qualified barrister practising in London as Of Counsel with the Financial Services, Regulatory & Enforcement group and partner, Mark Compton discuss the UK's new regulatory regime for individuals working in banks, large investment firms and insurers, including those working in UK branches of these firms.

The new UK regime for strengthening accountability in banks, large investment firms and insurers comes into force on 7 March 2016. The regime for branches of both EEA and non-EEA firms will come into operation on the same date. The firms affected have until 8 February 2016 to notify the UK regulators of the individuals who are eligible to transfer from the old regulatory approval regime to the new regime.

Alexandria and Mark explain how the new requirements could affect you and your firm, and what you need to do between now and March 2016 to prepare.

Topics covered:

  • The scope of the new rules
  • The Senior Managers' Regime
  • How the Senior Managers' Regime applies to branches
  • The Senior Insurance Managers' Regime
  • The Certification Regime
  • How the Certification Regime applies to branches
  • The Conduct Rules
  • When the new requirements come into force
  • How firms should prepare

Please click here to view.

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