1-Day Course: SMR – Senior Managers Regime (London, United Kingdom – June 25, 2019) – ResearchAndMarkets.com
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Attending this one day course will give you an overview of what the regulator requires of senior managers and what this means to the firm as a whole. Learn about key considerations and actions, what needs to be done and the responsibilities to be adopted by those of significant influence within your firm.
Benefits of the course:
- Reduce the risks of breaching the new regulation
- Get a real-life perspective on the role of a regulated Senior Manager
- The course will help you get a working understanding of the complex rules and give you a firm grasp on your responsibilities, and help you perform your role in a way that protects you and your firm from
FCA sanctions - Protect you and your firm by identifying your high-risk activities
- The course guides you through the practical application of the rules in a way that gives a better understanding of your business and the activities that are putting you at a greater risk
Main Topics Covered
- The Senior Managers Regime Regulation and requirements
- Implications for Senior Management
- The shape and structure of SMR
- Prescribed responsibilities
- The Certification Regime
- Fit and Proper requirements
- Day to day activities of regulated Senior Managers
- Conduct Rules
- Implications for the wider population of the firm
- Review actions taken by the
FCA and PRA - Review of the good and poor practices of firms that have implemented SMR
- Action planning - What actions are to be taken at each level within your firm
By the end of the course you will be able to:
- Appreciate and understand the background to the requirements
- Understand the structure and shape of both the Senior Managers Regime and the certification regime
- Recognise the new Conduct Rules, who's affected, the change in terminology and impact on your firm as a whole
- Understand what 'Significant Influence Function Fit and Proper' requires
- Learn how the regulator expects Senior Managers to behave
- Understand how normal business activities can lead to breaches
- Recognise the systems and controls necessary to support management of the firm
For more information about this training visit https://www.researchandmarkets.com/research/ll59h5/1day_course_smr?w=4
View source version on businesswire.com: https://www.businesswire.com/news/home/20190218005360/en/
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Related Topics: Finance
Source:
1-Day Course: SMR – Senior Managers Regime (London, United Kingdom – March 26, 2019) – ResearchAndMarkets.com
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