Senior Management & Certification Regime - Sharpen Your Knowledge

Introduction

The Senior Management & Certification Regime remains one of the major components of regulation by the Financial Conduct Authority (‘FCA’).

The regime is designed to improve professional standards and accountability throughout the industry.

Clear individual accountability should focus minds, drive up standards, and make firms easier to run and to supervise.

The certification regime holds individuals working at all levels within relevant firms to appropriate standards of conduct.

Sanctions can be serious, and it’s therefore imperative that senior managers and certification regime staff understand what is required of them.

This 1-hour e-learning programme is ideal for senior managers and certification staff working in an FCA regulated firm, regardless of location.

What You Will Learn

With interactive learning activities, knowledge checks and key reminder messages, the programme covers the following:

• Overview of SM&CR
• Practicalities of completing Statements of Responsibilities & Responsibilities Maps
• Evidencing ’reasonable steps’ in line with the Duty of Responsibility
• Recruitment and record keeping processes
• Conducting Fit & Proper Assessments
• How to handle non-financial misconduct
• Practicalities of certificating your staff
• Conduct Rules training requirements and solutions
• Conduct Rules - dealing with breaches
• Impact of the Consumer Duty

You can take each section at your own pace, picking up where you left off and are able to see your progress throughout.

The programme concludes with an assessment. Your score will be recorded and 'super-user' reporting functionality for the organisation as a whole is available in the MBL learning platform.