2 x 90 minutes

We suggest two sessions comprising:

1. The Senior Manager Regime and your responsibilities within it

2. How to succeed as a Senior Manager

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Within these sessions we will provide very practical steps the individual can take to protect themselves, your interaction with other senior managers and governance forum.

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We will 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.

2 x 90 minutes

We propose two sessions comprising:

1. The Regime and your responsibilities

2. How to succeed as an FCA Certification Function Holder

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Within these sessions we will provide very practical steps the individual can take to protect themselves and their Senior Manager.

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We will 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.

90 minutes

This course will cover:

• Why the rules are important

• Walk through of the Conduct Rules using case studies

• What happens if something goes wrong

60 minutes

This training usually covers:

• 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

90 minutes

This training usually covers:

• 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