WB SM&CR – Senior Manager Conduct Rules


SKU: WB-SMCR Category:


From the 9th December 2019  the SM&CR replaces the 7 Approved Persons principles of conduct.

The aims and objectives of this module are that by the end of the module you will:

  1. Understand the importance of the new Conduct Rules for yourself and staff.
  2. Be able to identify the 4 Senior Managers Conduct Rules. (Tier 2 )
  3. Be able to identify the 5 Individual Conduct Rules which apply to you and your staff. (Tier 1)
  4. Obtain an overview of the FCA’s expectations of you and your employees in implementing the Conduct Rules.
  5. Be given examples of what could be a breach of the Conduct Rules.

This module is aimed at Senior Managers subject to the SM&CR regime and looks specifically at how the FCA expect you to conduct yourself in the management and oversight of your authorised firm.

If you would like to purchase more than one licence then please call our office on Tel 01423 522599.