Monthly Compliance Forum: Practical Ways of Managing SMCR
September 28 @ 4:00 pm - 5:30 pm
Thursday 28th September 2023 from 04:00 PM – 05:30 PM, via Webinar.
The Compliance Forum is for all Heads of compliance, Chief Compliance Officers, and compliance staff, to build a network community and share insight, opinion, and experience. We bring in consultants to contribute to the discussion and share expertise. Meeting on the last Thursday of each month, from 04:00 pm – 05:30 pm.
This particular forum ‘Practical Ways of Managing SMCR’ will be an interactive webinar focusing on the people aspects of SMCR. Andrew Pullman, CEO of PeopleClear Ltd, will highlight several hints and tips including:
- Encouraging Senior Managers to engage
- Carrying out proper certification processes
- Pulling together data from different sources
- Reporting to the regulators
- Regulatory references
Andrew will also use the opportunity to answer queries that attendees bring to the table.
PeopleClear are specialists in advising and training firms on the people impact of SMCR, and they have also developed a SaaS product to help manage the whole process called PeopleClear SMCR.
To register to attend, complete the form below or email events@thebrokerclub.org.
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