If you work for a regulated firm, when did you last review your senior executives/C-suite service/employment contracts? Do your C-suite service/employment contracts comply? Are they effective? Do your C-suite service/employment contracts reflect the compulsory SMCR statement of responsibilities (SOR)?
Our experience is most do not! Which can lead to problems down the line.
At this webinar our expert speakers James Duncan (Partner, Winckworth Sherwood), Andrew Yule (Partner, Winckworth Sherwood) and Clare Curtis (CEO, Effecta Compliance) provided a practical update on the regulatory issues you should be considering and problems that will arise if you don’t. Topics included:
- Regulatory references
- SM&CR disclosure obligations – how they should be implemented and what to do when they’re not
- Statements of responsibility
- Regulatory considerations for a workforce operating more flexibly
For a copy of the slides please email email@example.com