SMCR Training

We provide SMCR training courses for every stage of your SMCR journey, whether you are completely new to it or need a refresher, through to those taking on certain responsibilities, to those operating or overseeing the supporting processes.

If you want to deliver training inhouse yourself then you will find training slide packs in our shop which all include speaker notes. We can provide a train the trainer to help you deliver those courses.

Not sure what topics you need covered? Don't worry we have outlined below some of the most popular SMCR training courses which we can run for your business.

Popular Course Content

Briefing for individual's taking on Senior Manager Function(s)

This is usually run as a bespoke one to one for anyone about to take on a Senior Manager Function and any prescribed responsibilities

2 x 90 minutes

We are usually asked to provide two sessions comprising:

The Senior Manager Regime and your responsibilities within it
How to succeed as a Senior Manager

Within these sessions we provide very practical steps you can take to protect yourself, your interaction with other senior managers and during governance or committees you attend.

We discuss some of the steps you should take to protect yourself as you take on the responsibilities, meeting regulatory expectations through to handling certain situations that can arise.

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Briefing for individual's taking on an FCA Certification Function

We are usually asked to deliver two sessions for those taking on an FCA Certification Function for the first time or who already hold a Certification Function and are looking for a reminder of their responsibilities

2 x 90 minutes

This usually comprises two sessions that cover:

The Regime and your responsibilities
How to succeed as an FCA Certification Function Holder

Within these sessions we provide very practical steps you can take to protect yourself and your Senior Manager.

We discuss what you need to do when you are first notified that you will be taking on a Certification Function, meeting regulatory expectations and how to handle certain situations that can arise.

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FCA Conduct Rules Training

This course is aimed that those moving under the Conduct Rules for the first time, or need a refresher

90 minutes

We are usually asked for this course to cover:

Why the rules are important
Walk through of the Conduct Rules using case studies
What happens if something goes wrong

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SMCR for beginners

This SMCR course is for those who are relatively new to SMCR, or whose business has changed such that SMCR is becoming a more complex area to manage, as well as those who need a refresher.

60 minutes

Most people want this training to cover:

Introduction to the 3 regimes that make up the SMCR / Individual Accountability Regime:
- Senior Manager Regime
- Certification Regime
- Conduct Rules
The regulatory requirements
Key processes and templates
The SMCR calendar
Examples of breaches and how to manage breaches

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The Individual Accountability Regime for support functions

This course is for those working in support areas such as Legal, Compliance, Monitoring, Audit who will need to monitor, support, advise or audit the business compliance with the IAR.

90 minutes

Most people want this course to cover:

What the regulator wants to achieve from the SMCR
Key lessons learned from enforcement action
The role of the three lines of defence
What the regulator expects from support functions
Top tips for scoping a SMCR monitoring review or audit

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Looking for something specific?

Let us know and we can discuss tailoring a course just for you.

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