Limited Scope Firm:
SMCR For Senior Managers
The price for this course: $53.00
Limited Scope Firm:
SMCR For Senior Managers
The price for this course: $53.00
45 mins
0.75 points
This course details the requirements of SMCR as it applies to Senior Managers, including the Senior Managers Regime, the Certification Regime and the Conduct Rules. It will give any Senior Manager the tools they need to understand their obligations and personal liability.
In addition to Senior Managers this course is also suitable for:
• Individuals reporting to Senior Managers
• Project managers and administrators
This course can be applied as both an ‘introductory’ course and a ‘refresher’ course.
Purchasing, Onboarding & Volume Discounts
Course Outline
-
The Senior Managers Regime – An Overview
- Increased accountability
- Key aspects of SMR
- Who is defined as a Senior Manager? -
Your Responsibilities as a Senior Manager – the Internal Framework
- The Statutory Duty of Responsibility
- Statements of Responsibilities
- Prescribed Responsibilities for Senior Managers
- Overall Responsibility
- Responsibilities Maps
- Handover -
Fit and Proper Requirements
- Honesty, integrity and reputation
- Competence and capability
- Financial soundness
- Background checks and references -
Conduct Rules for Senior Managers
-
FCA Notifications
- Pre-approval
- Code of Conduct breaches -
Summary of the Certification Regime
- Overview
- Certification Functions -
Conduct Rules revisited
-
Quiz
-
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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