By the end of this course you will have an understanding of The Senior Managers Regime, The Certification Regime, The Conduct Rules, The Prescribed Responsibilities, The Statement of Responsibility (SOR), The Duty of Responsibility and practical steps to take in preparation for your firm’s implementation of SM&CR.
This course provides an overview of the Senior Managers & Certification regime (SM&CR) which is the individual accountability regime that applies to firms authorised under the Financial Service & Markets Act 2000 (FSMA).
The content is relevant to solo regulated firms having limited scope or core firms. It assumes a basic knowledge of financial services regulation and previous regulatory landscapes.
We will cover practical steps to take in preparation for your firm’s implementation of SM&CR, the Duty of Responsibility, the Statement of Responsibility (SOR), the Prescribed Responsibilities, the Conduct Rules and the Certification Regime.