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Senior Manager & Certification Regime

Senior manager and conduct rules

Senior Manager & Certification Regime

This module is designed to help you understand the background to the Senior Manager & Certification Regime (SM&CR) and how to apply the FCA Conduct Rules in practice.

Who is this module for?

This module is suitable for all financial service professionals as well as compliance managers who wish to learn more about the SM&CR

Topics covered

  • Background to the SM&CR and Conduct Rules
  • The Senior Manager Regime
  • The Certification Regime
  • The Conduct Rules
  • Fitness and Propriety

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