Senior Managers & Certification Regime - What next? - CPD Training Course


Course Outline

Building on the successful 2016-19 course, this revised and updated course takes as its base line that SMCR has now been implemented and focuses on what firms need to look at to ensure that they have implemented correctly. This will be a half day course aimed at those firms who came into scope in December 2019.  This course looks at the key components of the SMCR and the wider perspective of firm culture, as set out in FCA’s discussions in DP18/2.  

Our trainer is a member of a trade body working party on this subject, has input directly into the FCA’s consultation process and advised on implementation of SMCR at over twenty firms.


Target audience


An important course for Compliance and HR professionals responsible for maintaining compliance with SMCR in their firms, and for directors seeking to critically consider how best to align their firm with FCA’s cultural objectives.  




  • Why SMCR was implemented in the first place and why it is being extended
  • Key aspects of implementation, including:
  • Scope – how FCA is categorising firms
  • Senior Managers, Prescribed Responsibilities and Statements of Responsibility – what these might look like
  • Referencing and Appraisal – what changes you might need to make
  • Conduct rules and training – how might these apply
  • Handovers – how these might work
  • Implementation experience – what went wrong and what went right
  • FCA priorities – how to adjust your processes in the light of FCA’s most recent comments
  • Key aspects of FCA’s cultural agenda, with focus on FCA’s expectations of senior and middle management, and junior staff




By the end of the course the attendee will have a clear understanding of the regime and key firm processes to maintain.




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 31-03-2020
Event End Date 31-03-2020
Event Time 10:00 - 13:00
Price £330.00
Location SIX Financial Information UK (EC2),  6 Devonshire Square, London EC2M 4YE, UK
£330.00 1000