An introduction to the Senior
Managers and Certification Regime
Why choose this course?
Under the FCA’s Senior Managers and Certification Regime (SMCR) firms are required, to provide suitable training about the SMCR Conduct Rules to all staff who are subject to those rules.
This training sets those conduct rules in the context of the regime as a whole, whilst pulling out the key action points for managers and those involved in compliance with the SMCR. The course will be delivered by a specialist employment lawyer with years of experience in advising Financial Services clients.
- The background to SMCR and what it seeks to achieve
- Implications of the regime for on-boarding staff
- Understanding fitness and propriety test for key personnel hires
- Understanding the SMCR conduct rules
- Key considerations when disciplining a Senior Manager