SMCR online training courses

   CPD-accredited

   Course takes between 30 and 45 mins to complete

  From only £30 inc. VAT

   Volume discounts for multiple-course purchases

   Fully automated interactive online solution

  Further 10% discount for all AIMA Members

    Course outlines:

• SMCR Overview course outline

  Introduction
  – A background to the SMCR regime and the content of the training course.

  Senior Managers Regime
  – Statements of Responsibilities
  – The duty of Responsibility
  – Prescribed Responsibilities
  – Sharing Senior Management Functions
  – Sharing Prescribed Responsibilities
  – Overseas Managers
  – The 12-week Rule
  – Non-executive directors
  – Partnerships under the Senior Managers Regime

  Certification Regime
  – Certification functions
  – Performing more than one Certification Function
  – Senior Managers and the Certification Function
  – Significant Management Certification Function
  – Overseas employees

  Fit and Proper requirements
  – Fit & Proper test
  – Evidence requirements
  – Criminal records checks
  – Regulatory references

  Conduct Rules
  – Two tiers of Conduct Rules
  – Activities the Conduct Rules apply to
  – Who the Conduct Rules apply to
  – Training requirements
  – Reporting breaches of the Conduct Rules

• SMCR for Senior Managers course outline

  The Senior Managers Regime – An Overview
  – Increased accountability
  – Key aspects of SMR
  – Who is defined as a Senior Manager?

  Your Responsibilities as a Senior Manager – the Internal Framework
  – The Statutory Duty of Responsibility
  – Statements of Responsibilities
  – Prescribed Responsibilities for Senior Managers

  Fit and Proper Requirements
  – Honesty, integrity and reputation
  – Competence and capability
  – Financial soundness
  – Background checks and references

  Conduct Rules for Senior Managers

  FCA Notifications
  – Pre-approval
  – Code of Conduct breaches

  Summary of the Certification Regime
  – Overview
  – Certification Functions

  Conduct Rules revisited

  Quiz

• SMCR for Certified Staff course outline

  Introduction to the SMCR Framework
  – A background to the SMCR regime and the content of the training course.

  How SMCR Applies to a Certified Person

  The Certification Regime – an Introduction
  – What are Certified Functions?
  – Territorial Scope
  – The FCA Directory
  – Issuing Certificates
  – What does Certification involve?

  The Fit and Proper Test
  – Honesty, integrity and reputation
  – Competence and capability
  – Financial soundness
  – Regulatory references

  Conduct Rules

  What are the risks to you?

  What next?

  Quiz

• SMCR Conduct Rules course outline

  The aims of SMCR

  Three Elements of SMCR
  – Senior Managers Regime
  – Certification Regime
  – Conduct Rules

  Conduct Rules Overview
  – Overview
  – Who must follow the conduct Rules?
  – What is the standard of conduct expected of me?
  – Regulatory references

  The Conduct Rules in detail

  What are the risks to you?
  – Internal disciplinary action
  – FCA breach reporting
  – FCA sanctions
  – What else you should be aware of?

  Quiz