Senior Management Arrangements Systems & Controls (SYSC)

The Senior Management Arrangements Systems and Controls (SYSC) Sourcebook apply to authorised financial services firms. It ensures the allocation of responsibility in a way that helps leaders monitor and control a business.

The purpose of SYSC rules is to encourage directors and managers to take practical responsibility, employ adequate risk management systems, and create a common standard for systems and controls.

Our Senior Management Arrangements Systems and Controls Course explains the responsibilities of senior managers as contained in the FCA Handbook.

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SYSC Course

About this Course

Available as part of our FCA Compliance Library.

Learning Objectives

This course will prepare your employees to:

  • Recognise the purpose of Senior Management Arrangements, Systems and Controls
  • Identify how responsibilities are apportioned and recorded
  • Know the necessary systems and controls
  • Recognise the critical areas of systems and controls
  • Explain how the Public Interest Disclosure Act protects whistleblowers

Course outline

Welcome

What are Senior Management Arrangements Systems & Controls?

Purpose of Senior Management Arrangements, Systems & Controls

Appointment of responsibilities

- Exercise: Apportionment of responsibilities

Recording the apportionment

Systems & controls

Critical areas of systems & controls

- Outsourcing
- Exercise: Key areas of systems & controls

Exercise: Systems & controls

- Scenario 2
- Scenario 3
- Scenario 4
- Scenario 5
- Scenario 6

Public Interest Disclosure Act: Whistleblowing

- Managers' responsibility

Summary

Affirmation

Assessment

FCA Courses Library

Our FCA Course library of over 60 training modules covers everything from high-level and conduct of business standards to thematic topics, including treating customers fairly.

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Course Specifications

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Structure

Approximately 25-minute long e-learning course followed by a 10-question assessment.

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Audience

Suitable for all staff - examples and interactivities designed for staff at all levels. No previous knowledge or experience is required.

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Design

SHARD-compliant, responsive display on all devices, accessibility on screen readers, visual design controlled via a client style sheet.

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Test-Out

Ability to offer optional test-out, whereby users can choose to skip the course content and complete the learning assignment simply bypassing the assessment.

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Compatibility

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.

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Tailoring

Fully customisable on Skillcast Portal CMS.

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Translation

Pre-translated versions not available, but all text content can be exported for translation into all languages.

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Localisation

Based on UK legislation, but suitable for global audiences upon the removal of UK-specific references and translation as necessary.