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SM & CR – Managing Obligations with Sean Lam

January 29, 2020 @ 8:00 am - 9:30 am

The Senior Managers & Certification Regime (SM&CR) will came into effect on 9 December 2019.

Whilst being ready for this deadline was important, the real challenge of SM&CR is the maintaining and updating records so that they remain current, as well as retaining evidence, ensuring that all records are easily accessible and quickly retrievable.   This ongoing burden may prove to be much more difficult without an effective system embedded and relying on spreadsheets to administer SM&CR will be complex and messy.

Sean Lam, CEO of Walker Crips will focus on how to create practical, manageable and cost effective compliant system.


January 29, 2020
8:00 am - 9:30 am


Walker Crips Office, Old Change House, 128 Queen Victoria Street, London, EC4V 4BJ
United Kingdom + Google Map

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The broker club is an exclusive club for brokers active within financial markets. The club is particularly relevant for senior management, front and back office, risk/compliance and IT.

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