Course description
Ever since assuming their powers in 2013, the PRA and FCA have clearly signaled, and acted upon, their intention to subject senior management to a more intense and intrusive level of scrutiny. They introduced the new Senior Manager & Certification Regime for some types of financial institution initially and have now extended a version of it across all regulated firms.
While implementation of the new regime may be complex, the consequences of failing to comply with the enhanced requirements are likely to be damaging for the approved individual and highly disruptive for the organisation.
Suitability - Who should attend?
This event will be of value to individuals falling under the scope of the Senior Managers regime or about to become so. It will also be of interest to those responsible for managing or supporting Senior Managers. This programme is particularly useful ahead of a regulatory visit or as part of the induction for senior managers.
Outcome / Qualification etc.
Following the course, a certificate of attendance will be provided to demonstrate their CPD activity to a professional body.
Training Course Content
This focused event is specifically designed to help Senior Managers:
- Make sure you are fully aware of your regulatory obligations under the new Senior Manager Regime
- Understand regulatory priorities and expectations, especially in key areas such as governance, risk management, culture and conduct
- Consider how to maintain and demonstrate ongoing competence
- Highlight and avoid common compliance pitfalls and problem areas
- Know what to expect from regulatory interviews and visits
Course delivery details
This course will comprise of a blend of trainer presentation, group discussions, exercises and examples. There will be ample opportunity for questions, experience sharing and networking. All course documents (as well as refreshments for face-to-face courses) will be provided.
Reviews
Average rating 4.5
It is challenging to make the subject of regulation and regulatory management interesting but the course and presenter managed to achieve this. An excellent over view and detai...
Although this could be a very dry subject, Gary made it engaging and enjoyable, and very relevant to what we need to know.
The instructor had an extensive knowledge of the subject matter, so was able to answer a variety of questions in a way which still remained relevant to the course. A degree of i...