SMCR Mini-Series: Regulatory References
Event Postponed
The Senior Managers and Certification Regime (SMCR) became reality for almost all FCA-regulated firms on 9 December 2019. Living with SMCR is different from planning for SMCR. It will have a significant potential impact on the way firms manage misconduct and approach settlement and references.
In the second session of the SMCR mini-series, Dechert’s financial services, litigation and labor and employment practices will be looking at:
- Giving a regulatory reference
- Taking up a regulatory reference
- Form of reference
- Resignation during investigation
- Updating regulatory references
- Potential claims for giving a regulatory reference
- Settlement
Please note this event has been postponed.
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