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.

CCL Academy has extensive experience in training senior managers and other staff who are subject to the SM&CR and offers a range of training solutions to suit a wide variety of requirements. Options include public courses providing an overview of the new regime to in-depth briefings for board members and others who are directly affected by the SM&CR.

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

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