Senior Managers and Certification Regime Half Day Course

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Date(s) - 06/10/2017
9:00 am - 12:15 pm

2nd Floor, Barlow House,


Prepare your organisation for what’s coming

Why this course?

The consultation paper is now out and changes are to come into effect in Summer 2018. Some well-run companies lack the formal organisation expected of them by the FCA in terms of holding board meetings, having records of how decisions are made, and being able to demonstrate that senior managers are in control of the business. The SYSC rule book contains detailed provisions but how many have read them?

There are changes ahead for all FCA regulated firms as the FCA will remove the current Approved Persons regime for General Insurance regulated firms and replace it with a new Senior Managers Regime

Spend half a day with us to explore the challenges this will bring. We will give you our view on what’s to come to help you understand and prepare to implement any changes required and be ahead of the game.

Course Objectives  at the end of the course delegates will be able to:

  • Summarise the reasons why the SMR is being introduced
  • Explain the scope of the new regime
  • Understand the importance of being ready – e.g allocation of responsibilities/job descriptions, complying with any training requirements and code of conduct rules
  • Pick up practical solutions and start to prepare to implement the changes

Topics covered during the session

  • An overview of the requirements as at Consultation stage
  • Background to the changes including what has happened to the Banks and Building societies and how it may affect the general Insurance market
  • Limited Scope, Core Firms, Enhanced Firms
  • Senior Managers regime and Statement of responsibilities
  • The new conduct rules for staff and senior managers
  • Governance and Management arrangements
  • The Certification regime
  • Regulatory references

Who should attend

  • Those with a Compliance Role
  • Those with a Senior Management role
  • Directors and Approved Persons of regulated firms
  • HR Personnel and those with a Training and Development role

Methods used: This is an interactive session, there will be a mix of presentation, discussion, Q&A and Action Planning!

The Cost: £199 plus vat per delegate and includes light refreshments (please let us know if you have any dietary requirements)

To Book: contact or call the office on 0161 870 6637


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