Compliance – (Senior Managers and Certification Regime)

Start Dates: TBC

Duration: Half Day

Full Fee: €500

Network Members Fee: €250

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Programme overview

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).

Learning outcomes
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?
Senior Management.

Modules

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

Trainer Profile

Please contact info@ifsskillnet.ie for more information on training providers.