Overview

The introduction of the Senior Managers and Certification Regime (SM&CR) 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.

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Course