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Senior Managers Regime

Tuesday, December 12, 2017 - 09:00
1 Day
Conducted by: 
Eureka Financial
Sam baker

In March 2016 the first tranche of Senior Managers Regime came into force and the FCA has confirmed that the financial institutions will be subject to compliance by March 2018 as a replacement of the current Approved Persons regime.

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.

By the end of the course delegates will be able to:

  • Understand the requirements of the new regulation including SMR and certification regime
  • Recognise the new Conduct Rules and who’s affected by them as well as their impact on firms
  • Understand Significant Influence Function ‘Fit and Proper’ requirements
  • Learn how the regulator expects Senior Managers to behave and what business activities can lead to breaches
  • Recognise the systems and controls necessary to support management of the firm

Register early to take advantage of our Early Bird offer!

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