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Virtual Training

Annual Update - Senior Managers Obligations

Cost: £350 + VAT

Various 10:00am - 12:00pm BST Online!

Course Overview: 

The ever-increasing focus by the Regulators on the accountability of senior management through the Senior Managers and Certification Regime (SMCR) emphasises how important it is for individuals in senior positions to have a clear understanding of what is expected of them. As the regulatory requirements evolve, it is vital that all Senior Manager Function holders (SMFs) keep abreast of developments so that they can maintain their Fit and Proper status. This succinct course is designed to assist both experienced and newly appointed Senior Managers to gain a full understanding of what they need to do to achieve and maintain compliance with their personal obligations under the SMCR. 

Course Objectives: 

Attendance at this course will provide you with: 

  • The ability to demonstrate to the Regulator your understanding of the current regulatory approach and the responsibilities placed on senior managers; 
  • The knowledge you need to achieve, maintain and evidence compliance with those responsibilities, including risk identification, assessment and mitigation; 
  • The potential to identify actions you may need to take to address any gaps in compliance; 
  • An awareness of the actions the FCA can take if things go wrong. 

Key topics: 

  • The SMCR in the context of UK regulation
  • Personal engagement with the regime and obligations under the Conduct Rules 
  • Attesting to Statements of Responsibility and Prescribed Responsibilities 
  • Staying fit and proper and keeping up to date 
  • Leading a team and standing up for what’s right 
  • Managing with skill, care and diligence 
  • Securing a corporate culture which delivers Conduct Rule compliant behaviour 
  • The challenges of implementing the certification regime 
  • Dealing with disciplinary issues and severance 
  • Understanding what are considered to be “reasonable steps” and the protections they afford 
  • SMCR in the broader context of corporate governance and the duties of directors 

Course aimed at: Senior Managers, including Executive Directors, Partners, Non-Executive Directors and holders of required functions; those preparing to assume SMF responsibilities; Risk, Compliance and Internal Audit specialists; Human Resources and Learning and Development specialists.  The course is especially suited for SMFs who are newly approved or who are approaching their annual Fit and Proper reassessment.  The course is equally suited to participants from solo and dual-regulated firms.


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