Overview of SM&CR for FCA Solo Firms
Our SMCR Overview training course will help your employees understand the key steps needed to comply with the regime. That includes:
- Preparing a Statement of Responsibilities
- Pre-approval of Senior Managers by the regulators
- Reasonable steps needed to stop regulatory breaches
- Identification of all Certified Persons
- Fit and proper assessment of all Certified Persons
- Ensuring Senior Managers understand the duty of responsibility
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30 Minutes -
For all staff
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UK
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FCA Compliance Library
What you’ll learn in
this course
- Understand the key elements of the SM&CR and how they apply to you
- Be aware of the Senior Management Functions and the allocation of responsibilities in our Firm
- Understand how fitness and propriety are assessed, and comply with the requirements
- Understand and comply with the Conduct Rules
- Understand and comply with the Certification Regime
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