SM&CR (Live via Teams) (2½ hours – £350 pp exc. VAT) or (Pre-recorded via video presentation – £125 pp. exc. VAT)

Understanding the SM&CR regime and its objectives

In-depth understanding the 3 key elements of SM&CR (Senior Manager’s Regime, Certification Regime & the Conduct Rules)

Senior Management Functions

  • Senior Management Functions & Prescribed Responsibilities
  • Statements of Responsibilities and the duty of Responsibility
  • Sharing Senior Management Functions and/or Prescribed Responsibilities
  • The 12-week Rule
  • Regulatory references – evidence requirements, criminal records checks

Certification Regime

  • Certification functions (with emphasis on the Significant Management Certification Function)
  • Performing more than one Certification Function
  • Senior Managers and the Certification Function
  • Fit & Proper assessments and certification

Conduct Rules

  • Individual Conduct Rules (inc. who they apply to) & Senior Manager Conduct Rules
  • Training requirements
  • Reporting breaches of the Conduct Rules