SMCR - Managing Ongoing Compliance

Corporate Training Partnerships
Course summary
4 hours
425 GBP excl. VAT
Full time
Online courses
Next available date: 28/04/2021 10:00 - Online courses
Last application: Depending on availability
Professional Training

Course description

SMCR - Managing Ongoing Compliance

Firms have worked hard to implement the Senior Managers and Certification Regime - in solo-regulated firms from December 2019.  But SMCR isn’t just for Christmas!  Implementation is just the start of a longer process to ensure that concepts of individual accountability are fully integrated into “business as usual” in regulated firms. 

If you have responsibility for SMCR in your organization, this focused workshop will help you benchmark your achievements during the initial development phase, highlight and address potential issues or areas of concern and plan the next steps as your firm progresses along its SMCR journey.

Attending will help you:

  • Identify the key issues outstanding following conversion from APER to SMCR
  • Successfully manage the first round of Certification–  key pointers and pitfalls to avoid
  • Clarify the meaning of Reasonable Steps in the context of SMFs business
  • Demonstrate the effectiveness and objectivity of approaches to assessment of certified staff
  • Ensure performance assessment processes fully reflect Certification requirements
  • Tailor Conduct Rules training to individual job roles
  • Map the Conduct Rules to your organisation’s values
  • Enhance the quality and timeliness of references
  • Consolidate SMCR as BAU through its impact on corporate cultur

Suitability - Who should attend?

Anyone responsible for setting up, implementing and administering the SMCR within a financial services organisation, especially individuals in Risk, Compliance and Operations. The course may also be of interest to Human Resources staff and to those in Internal Audit.  It will also be suited to those who are coming new to the SMCR for the first time.

Outcome / Qualification etc.

Attendance at this training event can provide 4 CPD hours, counting towards continuous professional development needs.

Training Course Content

  • Progress so far
  • Bedding down SMCR
  • Certification
  • Fit and Proper Challenges
  • Developing understanding of and commitment to the Conduct Rules
  • Individual behaviour and corporate culture

Course delivery details

This course will be delivered via a real time slide sharing and live audio visual platform, accessible by desktop computer, laptop, tablet or smartphone. Delegate numbers will be limited to ensure a high quality and interactive learning environment.

In-house / Company-specific training

Corporate Training Partnerships can also adapt and deliver this training course in-house, to meet the training needs of your staff.

About provider

Corporate Training Partnerships - CTP: Regulatory, Risk Management and Technical Training for Financial Services Organisations

CTP are a specialist training company serving the financial services sector since 2002. Our clients include both dual (FCA and PRA) regulated and solo (FCA) regulated firms. Fully independent with no consulting or technology arms or products, no third party...

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Average rating 5

Based on 1 reviews.

BMS Group Ltd
Covered a lot of ground in what is a complex multi facted topic with thought provoking suggestions for practical tips
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