Senior Managers obtain approval to carry out a Senior Management Function (SMF) from the FCA. The Statements of Principle and the Code of Practice for Approved Persons still apply to Appointed Representatives (AR).
Our Approved Persons course outlines how the FCA's Approved Persons regime (APER) applies to you as an Appointed Representative of the Firm.
Available as part of our FCA Compliance Library.
This course will prepare you to:
- Exercise: Controlled functions
- Code of Practice
- You make the call: Is it a violation of Principle 1?
- You make the call: Is it a violation of Principle 2?
- You make the call: Is it a violation of Principle 4?
- You make the call: Is it a violation of Principle 5?
- You make the call: Is it a violation of Principle 6?
- You make the call: Is it a violation of Principle 7?
Approximately 40 minutes followed by a 10-question assessment.
Suitable for all staff - examples and interactivities designed for staff at all levels. No previous knowledge or experience is required.
SHARD-compliant, responsive display on all devices, accessibility on screen readers, visual design controlled via client style sheet.
All Windows, Mac OSX, iOS, Android (Flash-free for mobile compatibility). AICC and SCORM 1.2-compliant, suitable for both hosted and deployed SCORM or AICC.
Fully customisable on Skillcast Portal CMS.
Pre-translated versions not available, but all text content can be exported for translation into all languages.
Based on UK legislation, but suitable for global audiences upon the removal of UK-specific references and translation as necessary.