City HR Members Only

Maintaining and accessing appropriate records under SMCR compliance is a key requirement, but what happens if a potential breach occurs and a full-scale supervisory investigation is required?  This session ranges from satisfying the FCA’s record-keeping requirements through to the deployment of innovative technology to capture employees and business data.  The agenda covers:

  • Reminder of FCA SYSC requirements on Record Keeping
  • Outline of FCA Senior Manager Conduct Rules and how these relate to recording, monitoring and actioning information
  • Investigations: a role play and demonstration of innovative technology in supporting a compliance breach or a supervisory investigation
  • Expert Panel: How technology can underpin SMCR across all facets