SMConnect Webinars:

Practical Insight for leaders in SMCR roles

Our new and exclusive SMConnect forum is for senior managers and certified staff who want to stay ahead of regulatory change by staying connected. Each month we unpack one SMCR theme and plug it directly into issues on the regulatory horizon. We’ll explore what the regulator means by “doing the right thing”.

You’ll receive direct access to legal and compliance experts, real life examples and practical tools and actions designed to help you evidence “reasonable steps”. Alongside this, the series acts as a confidential peer community – a space to share challenges, pressure‑test thinking and build trusted connections across the industry.

What you can expect

More information on the individual webinars can be found below:

17 September 2026 - 12:00 to 13:00 - Operational resilience & outsourcing – Third parties, critical services & CTPs

Why now‍

Operational resilience remains a key regulatory priority, with continued scrutiny on how firms identify important business services, set and test impact tolerances, and manage dependencies on third parties and critical third parties (CTPs). Expectations around governance, oversight and Senior Manager accountability are becoming more explicit, particularly where incidents, disruptions or outsourcing failures intersect with SMCR.

What we will cover / Outcomes‍

This session will explore how firms can practically embed operational resilience requirements into their governance, MI and accountability frameworks. We will focus on linking resilience mapping and MI to SMF responsibilities, strengthening oversight of outsourced and third‑party arrangements (including CTPs), and ensuring clear escalation, incident management and reporting pathways.

The session will also examine how operational resilience incidents and near misses should be captured, evidenced and reported in a way that aligns with SMCR expectations and supports Reasonable Steps.

Attendees will leave with:

A clearer understanding of how operational resilience obligations map to SMF accountability
Practical approaches to third‑party and CTP oversight and governance
Guidance on incident reporting, escalation and SMCR interfaces
Insight into current regulatory expectations and areas of supervisory focus

Webinar leads

Session length

60 mins

If you would like to attend, please contact: tlt.events@tlt.com

15 October 2026 - 12:00 to 12:30 - Regulatory references – Getting them right, fairly and fast

Why now

‍Regulatory references remain an area of heightened risk for firms and individuals, with increasing scrutiny on accuracy, timeliness and fairness. Potential reforms may simplify aspects of the regime, while current trends in non‑financial misconduct (NFM) are driving more complex judgements about what should be disclosed and how. Poorly handled references continue to be a source of regulatory challenge, litigation risk and operational friction between HR, Legal and Compliance.

What we will cover / Outcomes‍

This session will provide practical guidance on how to approach regulatory references in a way that is robust, fair and defensible. We will explore what firms must and should disclose, how to assess and evidence concerns (including NFM), and how to apply fair process safeguards to reduce challenge and legal exposure.

The session will also consider how regulatory references intersect with internal investigations, disciplinary processes and exits, and how HR, Legal and Compliance can work together to deliver references that meet regulatory expectations without over‑ or under‑disclosure.

Attendees will leave with:

Clarity on mandatory vs discretionary disclosure in regulatory references
Practical guidance on applying fair process and consistency
Insight into litigation and enforcement risk arising from references
A clearer understanding of how HR, Legal and Compliance roles interact

Webinar leads

Session length

30 mins

If you would like to attend, please contact: tlt.events@tlt.com

10 December 2026 - 12:00 to 13:00 - Managing regulatory change – Governance and execution rhythm

Why now‍

Firms are facing an increasingly busy and overlapping regulatory change agenda across both retail and wholesale markets. With multiple initiatives running in parallel, regulators expect Boards and Senior Managers to have clear oversight, predictable governance and decision‑ready management information. There is growing scrutiny on how regulatory change is prioritised, tracked and evidenced, particularly where accountability under SMCR is engaged.

What we will cover / Outcomes‍

This session will focus on how firms can design and maintain an effective governance and execution rhythm for managing regulatory change. We will explore how to structure change portfolios to give Boards and SMFs clear line of sight, how to ensure traceability from regulatory requirements through to controls and outcomes, and how to generate audit‑ready evidence that demonstrates Reasonable Steps.

The session will also address common pitfalls, including fragmented ownership, inconsistent MI and over‑complex change frameworks, and will share practical approaches to keeping regulatory change delivery disciplined, proportionate and defensible.