1
Type Speaker CPD Hours Level
Webinar
& DVD
1.25 IntermediateInformation

Introduction

From December 2019 all FCA authorised firms are subject to the SMCR.

Has your firm appointed the appropriate individuals to each required senior manager function (SMF) in the correct way and assigned the right responsibilities to them?

And how about the new conduct rules?

Alongside these key requirements are a plethora of internal policies and procedures, not least updating HR and compliance policies to take account to the requirements on all levels of staff and the rules on giving and receiving regulatory references.

Firms will need to get to grips with day to day compliance, including applying the 'fit and proper' test to those in certification functions, ensuring staff are properly trained and preparing information for the new Directory.

This webinar is aimed at those in compliance functions and those that need to support regulated businesses.

What You Will Learn

This webinar will cover the following:

  • Categories of firm
  • SMFs that apply to each firm and the duty of responsibility
  • Prescribed responsibilities and statements of responsibility
  • Scope of the certification regime and application of requirements
  • Scope of the conduct rules and application of requirements
  • Applying the new regime in practice

This pre-recorded webinar will be streamed at 12:30pm on Monday 9th March 2020 and will remain available to view by delegates who have registered by then for 90 days.

New: Enjoy unlimited 24/7 access to over 782 webinars with an MBL Annual Webinar Subscription. Email webinarsubscription@mblseminars.com for details.

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Webinar/DVD | 09.03.2020

Individual Licence | 1hr


SMCR - Applying the New Regime in Practice

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Mar
9
2020
1hr

Added to basket

Webinar/DVD | 09.03.2020

Unlimited Viewers | 1hr


SMCR - Applying the New Regime in Practice

Checkout
Continue Shopping
Unlimited viewers
at your organisation

Added to basket

Webinar/DVD | DVD

Individual Licence | 1hr


SMCR - Applying the New Regime in Practice

Checkout
Continue Shopping
DVD
1hr

Added to basket

Webinar/DVD | DVD

Unlimited Viewers | 1hr


SMCR - Applying the New Regime in Practice

Checkout
Continue Shopping
Unlimited viewers
at your organisation
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Ticket Information
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£62.50
£125
£250
DVDs are subject to shipping & handling costs of £5 + VAT per DVD
New: Enjoy unlimited 24/7 access to over 782 webinars with an MBL Annual Webinar Subscription. Email webinarsubscription@mblseminars.com for details.

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