Financial Services Winter Series

Virtual training for Next Generation FS Legal and Compliance Professionals

When: Tuesday 2 November - Tuesday 23 November


With the clocks going back, and the cold winter days quickly drawing in, we all know the importance of making the most of every moment of the day. Whether it’s on your brisk pre-work walk, or over your morning caffeine fix, join us for some interesting industry insights, and gain some vital CPD – all in advance of the busy festive season ahead.

Following on from the success of our FS Summer Series, our Financial Services Regulatory team will be running a Winter Series. This is aimed at next generation in-house lawyers, compliance and financial services professionals to help you get to grips with some of the key concepts of the UK’s financial services regulatory regime, held across four short-burst 30 minute sessions.

Whether you work in FS, want to work in FS, or just want to know more, sign up to our FS Winter Series.

Please sign up for as many of the sessions as you like. Attendees at any session will receive a recording of the full Winter Series.

Session 1: An Introduction to SMCR- Tuesday 2nd November 2021, 9am - 9:30am

Senior Managers & Certification Regime (SMCR) replaced the previous Approved Persons regime and is now fully applicable to all relevant firms.  In this session, we will discuss the key aspects of the SMCR regime, who it applies to and its practicalities.

Session 2: Key Themes from the FCA Business Plan - What you need to know - Tuesday 9th November 2021, 9am - 9:30am

In this session, we’ll discuss the key themes highlighted in the FCA’s latest business plan and what these mean for the FS industry. We’ll particularly consider the key priorities the FCA has highlighted within consumer and wholesale markets.

Session 3: Carrying out regulated activities without being authorised - exemptions and Appointed Representatives - Tuesday 16th November 2021, 9am - 9:30am

Not all regulated activities require authorisation but how do you know when this will apply to your business, and what you’ll need to do?  We’ll provide an overview of some of the common exemptions to authorisation, including the use of Appointed Representatives. We will also look at the FCA's consultation on Appointed Representatives following the Greensill Capital inquiry.

Session 4 : The Future of ESG - Tuesday 23rd November 2021,  9am - 9:30am

With the FCA supporting the Government’s commitment to achieve a net-zero economy by 2050 by adapting its regulatory framework, it is safe to say that ESG will remain on the agenda as a key priority for financial services firms.  We will be discussing key ESG considerations for financial services businesses and how to safeguard the longevity of these practises.