Senior Managers and Certification Regime

Senior Managers and Certification Regime
Senior Managers and Certification Regime

Understand the requirements of the SM&CR through real-life case studies

COURSE OVERVIEW

Reducing consumer harm and strengthening market integrity

The Senior Managers and Certification Regime (SM&CR) seeks to ensure that financial institutions adhere to exemplary standards of governance and accountability. It requires the most senior people in a firm who perform key roles to attain approval from the Financial Conduct Authority or Prudential Regulation Authority before starting their roles.

This course has been designed to help people understand the requirements of the SM&CR through real-life case studies and hypothetical examples. Learners will be assessed on their knowledge and understanding through a test at the end of the course.

Adjustments can be made to suit the needs of your company – please contact us for more information.

Course Duration

This course should take around an hour to complete. Learners can bookmark their progress before exiting the course and resume from that point.

Continuous Professional Development

This course is CPD Certified and counts as 1 hour towards a learner’s annual CPD total.

COURSE PARTS

This course is split into 4 parts:

1
Part 1 – Provides an overview of the SM&CR and what it aims to achieve. It explains how SM&CR applies to three different firm categories: Core, Limited Scope, and Enhanced
2
Part 2 – Explains the structure of the SM&CR, including the three pillars of the Senior Managers Regime, Certified Persons Regime and Conduct Rules. It then explores some of its requirements in detail
3
Part 3 – Explores FCA action taken since the regulations were introduced in 2018
4
Part 4 – Contains a multiple-choice knowledge test based on the course content

COURSE FEATURES

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Translation available
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WCAG version available
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Podcast
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Add your own photography and policies
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Customisation available, with bespoke scenarios
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Downloadable workbook
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Smartphone version
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End of course certificate
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CPD certified
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Sector specific versions available

What You Say

Available as

Off the shelf

Bespoke

Customised