SMCR (Senior Management & Certification Regime) – Core Firms

Objectives To work through the increased SMR regulations as they apply to core firms and capture the key changes that affect firms, Some test questions are set out towards the end of this post. Outcomes To understand the outcomes the regulator wishes to achieve and the challenges this presents to firms and how to meet them  To connect the SM and CR to your culture and the drivers of it To establish a timeline of key events that need to be completed before 9 December 2020 To map across existing controlled functions into the new regime allocate prescribed responsibilities create statements of responsibilities understand the duty of responsibility and where needed documents required for completion COPY OF SLIDES –DOWNLOAD HERE…

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