SM&CR – Tick Box Exercise or Foundation for Cultural Change?
Background FCA solo regulated firms are now completing the transition of SM&CR requirements into ‘Business…
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T&C scheme review
Ensuring your T&C scheme remains fit for purpose is a key to ensure that it…
Assessing Competence – Best Practice
OBJECTIVES Examine the 4 stage assessment process, methods of assessment, rules and types of evidence,…
Defining competence to perform a skills gap analysis
OBJECTIVES To examine the meaning of competence and how it might differ from professionalism. To…
FIT and Proper Assessments- What the rules tell us
This is a 20 minute video OBJECTIVES To work through the regulations that govern a…
SM&CR Coffee Time Briefing
Objectives To walk through the background to the increased accountability, regulations, to identify the key…
The Certification Regime Scope
Objectives To examine the regulations relating to the scope of the Certification Regime and how…
SMCR (Senior Management & Certification Regime) Hotspots
Objectives To take a closer look at the impact of the SM&CR regulations to identify…
SMCR (Senior Management & Certification Regime) for Enhanced Firms
Objectives To work through the increased SMR regulations as they apply to enhanced firms and…
SMCR (Senior Management & Certification Regime) – Core Firms
Objectives To work through the increased SMR regulations as they apply to core firms and…