Introduction to UK Financial Regulation
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45 Minutes -
For all staff
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UK
Non-executive directors provide the independence and oversight a governance structure depends on, and in financial services they carry regulatory obligations alongside their statutory and fiduciary duties. This 45-minute course explains how SM&CR applies to NEDs, when a NED holds a Senior Manager Function, and which Conduct Rules apply.
NEDs sit at a distance from daily operations, which is exactly why their accountability is so often misunderstood inside the firm. The regulator holds them to a higher standard, not a lighter one. Bringing your board and committee members through structured training closes a gap most compliance programmes leave open, and it is straightforward evidence of governance quality when supervisors ask.
What you’ll learn in
this course
- Understand how the Senior Managers and Certification Regime (SM&CR) applies to NEDs
- Understand when a NED may become the holder of a Senior Manager Function
- Recall the Conduct Rules that apply to you as a NED
- Explain how the Conduct Rules apply in practice
- Describe how you will comply with the Conduct Rules in your role
- Describe when the Prudential Regulation Authority (PRA) or Financial Conduct Authority (FCA) might take action for non-compliance with the Conduct Rules
Hear from our customers
Feefo Customer Rating ★★★★★ 4.9/5
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