This workshop explores the responsibilities of an SMF16 & 17 – exactly what the regulator expects from you, and how you can effectively manage your firm. We will talk over the key processes you need to be aware of, and any pitfalls to avoid! Click play to find out why you should attend.

Why should I attend?

At the end of the workshop delegates will be able to:

• Fully understand the role of MLRO and the regulatory reporting requirements that come with the role.
• Be able to effectively carry out the prescribed responsibilities of compliance oversight.
• Have guidance on how to build the correct culture within your firm in respect of both compliance and AML.
• Gain the knowledge & skills to establish your own systems & controls (SYSC) that can sufficiently highlight the day to day running of the business and the firm’s current compliance positions.
• Be able to identify what relevant processes, controls, and structures are in place to ensure the firm is operating within the FCA’s handbook rules and how to create them if needed.

Who’s hosting?

This event will be hosted by Christian Markwick from Apricity Compliance.

How do I sign up?

Simply click below.