What will it cover?

This workshop explores the responsibilities of an SMF17 - 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!

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Learning Objectives:

• 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.

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Spaces are limited to 12 Compliance Premium Clients only. We’ll be operating a “1 screen-per-firm” policy. So if you would like to attend, please link up with colleagues, sign up once and join the call together.

If you can’t attend on the day, please cancel your registration so someone else can take the spot. This is a super popular session, so we want to give everyone the chance to take part, and no-shows won’t be invited back.