Senior Managers Certification Regime

The Senior Managers & Certification Regime (SM&CR) is a regulatory framework for FCA solo-regulated firms that aims to strengthen market integrity, protect consumers, and improve conduct by assigning responsibilities, specifying conduct rules for senior managers, and implementing certification requirements for non-senior-management functions.

Designed for United Kingdom

Course running time is 15 Minutes

This course is customisable

Course Summary

Gain a detailed understanding of Senior Managers Certification Regime’s (SM&CR) impact on the financial services industry. This course is essential for senior managers, compliance officers, and HR professionals navigating the regulatory landscape effectively.

Our course starts with an overview of SM&CR, its scope, and applicability. Delve into specific roles and obligations to ensure a clear understanding of responsibilities.

Explore the replacement of key FCA rules by SM&CR. Equip yourself with the knowledge to seamlessly adapt and implement new requirements within your organisation.

Discover insights on SM&CR exemptions, navigating circumstances where individuals or entities may be exempt from specific obligations. Stay compliant while effectively managing exemptions.

Understand the aim of SM&CR to appreciate its significance within the industry. Analyse regime objectives emphasising accountability, integrity, and good governance.

Comprehensive overview of enforcement processes within SM&CR. Mitigate risks effectively by understanding potential consequences of non-compliance and appropriate measures to take.

Address the importance of regular SM&CR training. Stay up-to-date with regulatory expectations and the need for periodic refreshers to ensure continuous compliance.

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Senior Managers Certification Regime Learning Outcomes

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