Senior Managers and Approved Persons Workshop - CPD Training Course

Seminar Overview

There is ever-increasing focus by the regulators on senior managers and their individual accountability, especially when things go wrong.  This approach is now being even further strengthened by the extension of the Senior Managers and Certification Regime to all regulated firms during 2019.  In this climate it is important for all those in senior positions to have a clear understanding of what the regulators expect of them.  This seminar has been designed to help senior managers and others whose roles are currently subject to approval to comply with their regulatory obligations.



The following topics will be covered:

  • The FCA’s approach to regulation (including supervision and enforcement)
  • Obligations of being Fit and Proper
  • The current Approved Persons regime
  • Obligations of the firm which rest with senior management (PRIN, SYSC, etc)
  • Overview of the regulation of business activities (COBS etc)
  • Support and contribution from the Control Functions (Risk, Compliance, Legal, Audit)
  • Individual accountability and the Senior Managers Regime
  • Certification and its implications
  • Expectations of Non-Executive Directors
  • The Conduct Rules and Approved Persons Code compared
  • Broader corporate governance and organisational culture considerations


Who should attend?

This seminar is aimed at all those who are currently in (or who are about to take up) senior management roles, or who are in roles currently requiring regulatory approval.  This includes those in Significant Influence Functions, those who are already or who will become subject to the Senior Managers Regime and senior staff who are or will become subject to Certification.



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

To Reserve a Place

Email This email address is being protected from spambots. You need JavaScript enabled to view it., call +44 (0)20 7422 0063 or book online. You will receive confirmation of your booking within 24 hours. Price inclusive of all course material. Price exclusive of VAT. 

Training and Venue Information

CPD Authorised Yes
Event Date 06-11-2019
Event End Date 06-11-2019
Event Time 10:00 - 13:00
Price £275.00
Location SIX Financial Information UK (EC2),  6 Devonshire Square, London EC2M 4YE, UK
£275.00 997