Introduction to the SM&CR Conduct Rules for Senior Managers and Directors - March

*Book 3 places for the price of 2*


Webinar Overview


The Conduct Rules are a key element of the Senior Managers & Certification Regime. The Senior Manager Conduct Rules make senior managers directly accountable for failings within their firms. They also impose a reporting obligation on all directors at FCA-authorised firms, whether they are senior managers or not.

This one-hour webinar will introduce participants to the Senior Manager Conduct Rules and provide a forum to discuss their practical implications.


The following matters will be covered:


Hannah Doherty, a financial services expert, will explore the Senior Manager Conduct Rules, below, using recent FCA disciplinary proceedings as case studies:

  • Senior managers must take reasonable steps to ensure that:
    • The business of the firm for which they are responsible is controlled effectively and complies with regulatory requirements and standards; and...
    • Any delegation by them of their responsibilities is to an appropriate person and they must oversee any delegation effectively.
  • Senior managers and directors must disclose appropriately any information of which the FCA or PRA would reasonably expect notice.



Who should attend?


This one-hour webinar is suitable for senior managers and directors at FCA-authorised firms, compliance officers, HR personnel and regulatory lawyers.





A CPD certificate will be provided to all attendees, which may be considered appropriate by your company for the accrual of CPD hours. This session will qualify for 1 CPD hour. 

Training and Venue Information

CPD Authorised Yes
Event Date 16-03-2021
Event End Date 16-03-2021
Event Time 10:00 - 11:00
Price £99.00
£99.00 999