Overview

Our range of SM&CR training courses

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.

Why SM&CR is critical for your firm

The wider implementation of the Senior Managers & Certification Regime will come into force on 9th December 2019 and is comprised of three strands:

  1. Senior Management
  2. Certification
  3. Conduct Rules

This short video explains why SM&CR is critical for your firm:

Our SM&CR eLearning modules

Introduction to the SM&CR

A focused and coherent synopsis of the SM&CR that is perfect for raising awareness as implementation approaches.

SM&CR Conduct Rules

A comprehensive guide to the new Conduct Rules that will apply to all employees.

Face-to-face SM&CR training courses

We can facilitate in-house training workshops on the following topics:

All of our in-house training sessions can be tailored to the specific needs of your firm. To request a quote to conduct in-house training for your employees, click here.

Some of our courses are also available publicly, you will find dates for the next public courses below.

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. Please contact us for more information.