Overview

The extension of the Senior Managers and Certification Regime (SM&CR) to investment firms in December 2019 represents a major overhaul of the way in which individuals working within financial services are regulated.

The new rules increase the number of employees who are subject to regulatory obligations, whilst significantly enhancing the accountability of those in senior management positions. They also impose potentially onerous obligations on firms, from the documentation of management responsibilities to the training of employees on the application of the Conduct Rules.

We have extensive experience in training senior managers and other staff who are subject to the SM&CR and we have developed a range of training solutions to suit a wide variety of requirements, including:

Online modules

Face to face training

Tailored in-house courses:

Public courses:

Train the trainer

We can train your internal trainers and provide all of the materials you will need including slide packs, case studies and speaker notes.

Need help finding the right training solution for your Firm? Contact our London based team of SM&CR experts.

Click here to visit our dedicated SM&CR site featuring "SM&CR in a Nutshell" and our preparing for the SM&CR case study series.