Senior Managers & Certification Regime - CPD Training Course


Course Outline

The session will look at the detail of the FCA’s near final rules as published in July 2018, and considers these rules from the wider perspective of firm culture. An important course for Compliance and HR professionals seeking to implement SM&CR in their firms. 


Target audience

This course is likely to be particularly valuable for any FCA regulated firm not yet within SMCR scope but which is keen to prepare for the future implementation of this regime. To that end it should be of value to chief executives, directors, compliance staff, human resources and trainers. The course will also provide a valuable refresher for those already inside the regime.



  • Handovers – how these might work
  • Scope – how FCA is categorising firms
  • Why SMCR was implemented in the first place and why it is being extended
  • Conduct rules and training – how might these apply
  • Senior Managers, Prescribed Responsibilities and Statements of Responsibility 
  • Key aspects of implementation, including: 
    • Referencing and Appraisal – what changes you might need to make
    • Key aspects of FCA’s cultural agenda, with focus on FCA’s expectations of senior and middle management, and junior staff.




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 6 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 HERE. 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 12-12-2019
Event End Date 11-12-2019
Event Time 10:00 - 13:00
Price £295.00
Location SIX Financial Information UK (EC2),  6 Devonshire Square, London EC2M 4YE, UK
£295.00 1000