Enhanced Firms:
SMCR Overview Module

The price for this course: £42.00 inc. VAT

This module is designed to provide a summary of the SMCR requirements as they apply to staff at an introductory level. It will review the key concepts and role assignments needed to transition your firm properly to the new regime. This module is suitable for:

- Senior Managers
- Individuals undertaking Certification Functions
- All Employees

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
    - Overall Responsibility
    - Prescribed Responsibilities
    - Sharing Overall Responsibilities
    - Sharing Senior Management Functions
    - Sharing Prescribed Responsibilities
    - Overseas Managers
    - The 12-week Rule
    - Responsibilities Maps
    - Handover Procedures
    - 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
    - ignificant 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

  • Features

    Designed by Experts
    Compatible on multiple devices
    E-Learning modules available offline
    Tailor any module to your needs
    Trackable testing & administrative tools
    Bespoke implementation on our LMS or yours

The price for this course:

£42.00 inc. VAT

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