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.