Start Dates: TBC
Duration: Half Day
Full Fee: €500
Network Members Fee: €250
The course aims to provide a background to the Senior Managers and Certification Regime and its main goals (to improve culture, governance and accountability within financial services firms and to deter misconduct by improving individual accountability and awareness of conduct issues across firms).
The objective of the course is to outline the improvements sought under the Senior Managers and Certification Regime and highlight methods to improve accountability and awareness of conduct issues in each attendees firm.
Who is the course for?
There are 3 key parts to the Senior Managers and Certification Regime:
1. Senior Managers Regime:
· Functions, roles and responsibilities of Senior Managers; and · Certification requirements of Senior Managers.
2. Certification Regime:
· Functions of employees with potential to cause harm to the firm or its clients; and · Recommendations for regular fit and proper checks.
3. Conduct Rules:
· High-level standards of behavior expected; and · Training and notification requirements for Conduct Rule breaches
Please contact email@example.com for more information on training providers.