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SM&CR: Senior Manager Level – training course

Course Overview

To succeed in the Senior Managers & Certification Regime (SM&CR) the FCA needs firms to implement high quality training which enables senior managers to demonstrate their awareness and understanding of the rules. This programme ensures that participants can practically apply the specific rules which are relevant to their work by operating on a day to day basis within the scope and intent of the regime.

Participants will be able to

  • Understand the background to the SM&CR regime
  • Recognise key challenges in applying the rules and meeting requirements
  • Consider the findings of the SM&CR Banking Stocktake Report
  • State the Senior Manager Conduct Rules and explain how they apply to their role
  • Consider and evaluate if their current practices will meet FCA expectations
  • Communicate and engage with all relevant stakeholders, as and when they have concerns
  • Delegate effectively by following the regime guidance
  • Articulate how they will evidence their own and their team’s compliance on an ongoing basis.

 

  • 120 minutes
  • Group discussion and action planning
  • Typically 10 - 12 participants
  • Delivered remotely or in-person
  • Supported by Guidance Notes
  • We can customise this course for your specific requirements.
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SM&CR: Senior Manager Level

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