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The Senior Managers’ and Certification Regime for Dual regulated firms

04 Dec 2017 13:30 - 15:30
Cordium UK offices
Norfolk House, 31 St James’s Square, London, SW1Y 4JJ
Training & Workshops, Compliance, Risk, Regulation
Banking, Clearing Houses, Outsourcing, Consumer Credit, Energy Market Participants, Gaming, General Insurance, Investor Relations, Life Assurance, Mortgage & Home Finance, Pensions, Securities & Investment, Wealth Management

If you would like to discuss your training requirements in more detail please contact Graham Dix on 020 3141 9546 or your usual Cordium consultant.


Course Overview:

Recent announcements about extending the scope of the Senior Management and Certification Regimes beyond banking will result in asset managers and other firms needing to become familiar with the new regulatory requirements.  This concise course gives an overview of the regimes and explores the issues which firms will need to address and resolve if they are to meet the new standards effectively. 

Course Objectives:

  • The ability to recognise the principal features of the new arrangements, compared with the existing regime.
  • The ability to see the new requirements within the broader regulatory context.
  • To identify actions that may need to be taken by firms and individuals to implement the new requirements and manage compliance with them effectively.

Key topics:

  • The new requirements in context
  • Features of the Senior Managers regime
  • Features of Certification
  • The Rules of Conduct
  • Practical and operational implications of the new requirements
  • Applying the requirements of the regimes more broadly as good practice

Course aimed at: Senior Management, including Directors, Non-Executive Directors and other Approved Persons; Risk, Compliance and Internal Audit specialists; Human Resources and Learning and Development specialists.

This course can also be delivered as an onsite course or as an instructor lead course at a firm’s office.


2 Points
Cordium - Education and Training
130 Jermyn Street, London, SW1Y 4UR, United Kingdom.

Tel: +44 (0) 20 7691 9722
Contact: Graham Dix. Manager Training Solutions