Certification under the SMCR: the regulator’s perspective
In this joint webinar with the CII and CISI, we are delighted to invite you to hear from David Blunt, Head of the Conduct Specialists Department in Supervision at the FCA.
In this session, David will touch upon:
• The FCA’s expectations around certification
• How does certification support healthy cultures?
• What does good look like?
• Practical issues and pitfalls
• Regulatory references and stopping rolling bad apples
David is Head of the Conduct Specialists Department in Supervision at the FCA. David is responsible for the extension of the senior managers and certification regimes to all FCA authorised firms – one of the key FCA workstreams focusing on culture and governance at firms. David also oversees the FCA’s specialists on financial promotions and consumer contracts issues, as well as specialists in remuneration at firms and the FCA’s use of its powers under s166 FSMA (“skilled persons”). David has been at the FCA/FSA since 2000 where his roles have included heading the investment banks supervision department and a variety of roles in the Markets and Enforcement divisions. Prior to joining the FSA, David worked at the London Stock Exchange in its Listing Division. David trained as a solicitor and worked at Lovells (now Hogan Lovells) from 1992-1998 where he specialised in commercial litigation acting for banks and other financial services firms.
Wednesday 16 September 2020
8:15 - 9:15 (UK BST)