45 mins
0.75 points
This course is designed to provide a summary of the SMCR requirements as they apply to an ‘Enhanced Firm’. It reviews the key concepts with a view to ensuring that your firm has a sound understanding of SMCR.
This course is suitable for anyone that is seeking to enhance their understanding of how SMCR applies from the firm’s perspective, including:
• Senior Managers
• Project managers and administrators
• Individuals performing a compliance, risk or audit function
• Human resources professionals
This course can be applied as both an ‘introductory’ course and a ‘refresher’ course.
Purchasing, Onboarding & Volume Discounts
Course Outline
-
Introduction
A background to the SMCR regime and the content of the training course.
-
Senior Managers Regime
- Statements of Responsibilities
- The duty of Responsibility
- Overall Responsibility
- Prescribed Responsibilities
- Sharing Overall Responsibilities
- Sharing Senior Management Functions
- Sharing Prescribed Responsibilities
- Overseas Managers
- The 12-week Rule
- Responsibilities Maps
- Handover Procedures
- Non-executive directors
- Partnerships under the Senior Managers Regime -
Certification Regime
- Certification functions
- Performing more than one Certification Function
- Senior Managers and the Certification Function
- ignificant Management Certification Function
- Overseas employees -
Fit and Proper requirements
- Fit & Proper test
- Evidence requirements
- Criminal records checks
- Regulatory references -
Conduct Rules
- Two tiers of Conduct Rules
- Activities the Conduct Rules apply to
- Who the Conduct Rules apply to
- Training requirements
- Reporting breaches of the Conduct Rules -
Features
- Designed by Experts
- Compatible on multiple devices
- E-Learning modules available offline
- Tailor any module to your needs
- Trackable testing & administrative tools
- Bespoke implementation on our LMS or yours
The price for this course:
$53.00
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