Senior Managers & Certification Regime (SM&CR)

Financial Crime Limited
Course summary
3 hours
99 GBP excl. VAT
Open / Scheduled

Course description

Senior Managers & Certification Regime (SM&CR)

This half day course is aimed at those regulated FCA firms not yet within the scope of the Senior Managers & Certification Regime (SM&CR), who will come within scope by December 2019.
This course will look at the detail of SM&CR and how best a firm can understand, plan and implement the new rules. This course is designed for FCA regulated firm staff, particularly Legal, Compliance and Human Resources departments, to support them in understanding and implementing SM&CR into their firms. This course will also be of value to Chief Executives, Chief Operating Officers, Directors, MLRO’s and particularly any staff who may be performing a Senior Manager Function (SMF) or be a Certified Person (CP) under the new regime.

Suitability - Who should attend?

  •  All relevant staff of a firm within scope
  • Senior Manager Functions (SMFs)
  • Certified Persons (CPs)
  • All persons within scope of the Conduct Rules
  • Those persons directly involved with the implementation of SM&CR  i.e. Compliance, HR & Legal

Training Course Content

The course will cover:

  • Introduction to SMCR
  • Overview of SMCR 
  • Timetable for Implementation
  • Individual Accountability
  • Who is affected by SMCR?
  • The 3 Parts of SMCR
    • Senior Managers Regime
    • Certification Regime
    • Conduct Rules
  • Categories of Firm
  • What category firm are you?
    • Limited Scope Firm
    • Core Firm
    • Enhanced Firm
  • How individuals are affected
  • Mapping of Functions
  • Senior Managers Regime – Key elements
  • Certification Regime – Key elements
  • Conduct Rules – Key elements
  • Fit & Proper Test
  • Duty of Responsibility
  • Reasonable Steps
  • Other tasks
  • When problems arise
  • Sharing Responsibilities
  • Breach Reporting
  • Planning & Implementation

About provider

Financial Crime Limited

Financial Crime Limited (FCL) is an accrediated CPD training company which provides public and customised in-house regulation and compliance training courses for the banking and financial services sector in London, Birmingham or Milan. Learn from our financial experts, who are...

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Contact info

Financial Crime Limited

Suite A, Old Bank Buildings, Upper High Street
B64 5HY Cradley Heath West Midlands

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