Accountability FS 2019 - SMR & Operational Resilience

Tuesday 12th November | The Barbican Centre, London

This one-day financial services conference will explore the crossover between data protection & security obligations and the Senior Managers and Certification Regime (SM&CR). 

This event is run by Data Protection World Forum Ltd, in association with OneTrust LLC.

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“Firms of all sizes need to develop a ‘security culture’, from the board down to every employee. Firms should be able to identify and prioritise their information assets – hardware, software and people. They should protect these assets, detect breaches, respond to and recover from incidents, and constantly evolve to meet new threats.” FCA

Are you prepared for the new senior managers and certification regime? 

This financial services event will deep dive into GDPR, Mifid II, Cybersecurity, global data protection laws, Brexit and the varying and possibly conflicting regulatory regimes.

- Ensure you have sufficient knowledge on accountability expectations

- Hear from the Regulators and Enforcement bodies

- Understand the issues facing your organisation around demonstrating compliance

- Set an appropriate risk appetite

- Drive a strong culture of compliance

- Uncover smart insights and practical tips on implementation

- Understand responsibilities and ownership strategies

- Build operational resilience

- Network with your FS peers to ensure you are prepared

Operational resilience

  • Disruption from technology outages and cyber-attacks
  • Cyber-enabled fraud
  • Complex and ageing IT systems
  • Response and recovery planning

Data and data ethics

  • Transparency and accountability
  • AI in finance and machine learning
  • Data Governance & culture
  • Digital rights, privacy, and data management

Data Protection

  • GDPR – the story so far
  • Brexit implications
  • Global data protection laws - CCPA
  • Conflicting regulatory regimes - MiFID II, PSD2, GDPR

Cyber Security

  • How risks to technology systems are managed
  • Security by design
  • Testing and training staff
  • Managing third party suppliers

Senior Managers Regime (SMR)

The Financial Conduct Authority’s Senior Managers Regime (SMR) came into force in March 2016 for the banking and insurance sectors and is set to be extended.

This upcoming expansion will impact about 50,000 firms in the financial services sector from 9 December 2019 onwards.

The Senior Managers Regime has come into force due to a perceived lack of ownership and accountability and is creating a system that enables firms and regulators to hold people to account. Senior Managers can be held accountable if they don’t take what the regulator defines as ‘reasonable steps’ to prevent compliance breaches.

A large part of these obligations is that senior managers should establish, maintain and improve appropriate technology and cyber resilience systems and controls – including how to demonstrate accountability and compliance.

Board Directors, GRC professionals, Front Office, Compliance, Risk Management and Operations staff alongside CISO’s, CPO’s and DPO’s need to understand


Barbican Centre, Silk Street, London, EC2Y 8DS

Barbican Centre in Central London will play host to Accountability 2019 - SMR & Operational Resilience.

London has been a critical artery for the flow of money around the world for centuries. The financial services sector accounts for about 12 percent of Britain’s economic output, employs about 1.1 million people and pays more taxes than any other industry.

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