We have worked with global firms to undertake independent assessments of candidates for an SMF position. Taking full consideration of the FCA's SMCR requirements in respect of knowledge, experience and background, we were able to evaluate the candidate's fitness & overall probity. We provided the firms with our findings and a defined learning and development plan to address any gaps in the candidate's knowledge and skills. Firms are required to carry out this exercise annually to ensure that individuals are Fit and Proper to perform their roles. All staff must also be trained on the conduct rules and their knowledge refreshed annually. Firms must also have a mechanism for identifying and reporting any breaches of the conduct rules to the FCA.
Our online Conduct Rules training will help you and your business stay compliant with the Senior Managers and Certification Regime. Our pricing is based on a license fee of only £50 per user and a customized module is priced on application. The benefits of our training:
- End to end solution
- Engaging and expert led
- Cost effective
- Accessible and flexible
