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:
- SM&CR in a Nutshell - a short animated infographic explaining key concepts in a minute
- Introduction to the SM&CR - eLearning module
- SM&CR Conduct Rules - eLearning module
Face to face training
Tailored in-house courses:
- SM&CR for FCA-Regulated Firms - Overview & Impact
- Senior Management Responsibilities & the SM&CR
- SM&CR Conduct Rules for Client-Facing Staff
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.