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Alexander Lloyd Forums 2017


30th March 2017 - Compliance Forum:

MiFID II and SMR - a GRC persepctive

etc.venues, St. Pauls, EC1A 4HD

For more information on our speakers and topics, click here 

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Over the next year, the FCA will be putting GRC (Governance, Risk and Compliance) and ERM (Enterprise Risk Management) front and centre with the adoption of both MiFID II and the extension of the SMR (Senior Managers Regime) across the financial sector.

Whilst MiFID II does not represent a dramatic change in the regulatory landscape, being more of an extension to existing MiFID than a radical re-think, SMR represents a dramatic new step in regulation placing accountability heavily on the individual.

Even within firms which have mature GRC frameworks in place, this could look daunting. However, as with many new things, change breeds new opportunities.

Alexander Lloyd, in association with Complyport would like to explore these opportunities and place these new blocks of regulation in the context of established risk management practice.

We will examine:

  • What are these regulatory initiatives and what do they aim to achieve?
  • Why is this relevant to individuals working in regulated firm?
  • How will they affect established roles and positions?
  • What do individuals need to do now, in preparation?
  • What is a proportionate response for a medium to small firm?
  • What will happen if you are not prepared?
  • How will I brief management and secure the resources necessary to implement these requirements?
  • How much time do organisations have before regulation has a material effect?