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This half-day course brings banking staff up to speed with the new Senior Managers and Certified Persons Regime.
This fast paced half-day course brings banking staff up to speed with the new Senior Managers and Certified Persons Regime. It helps participants benchmark their internal preparation with what regulators expect. It also identifies key risks and action points in order to ensure effective implementation of the regime once it comes into force. Consideration is given to the new Conduct Rules, disciplinary issues, regulatory reporting, competence and capability of staff, and the topic of organizational culture.
- Know the origins, structure, and intention of the new Senior Managers and Certified Persons regime.
- Understand how to draft a Statement of Responsibilities and Management Responsibilities Map.
- Be able to identify the training and competence requirements for the senior manager population.
- Know the enforcement powers of the regulators against senior managers and certified persons.
- Have the tools to effectively support senior managers to mitigate personal regulatory risk.
- Understand the responsibilities of the firm in administering an internal certification regime.
- Benchmark existing preparation against regulator expectations.
- Understand which staff need to be certified and how to evidence competence and capability for this population.
- Understand the reporting and notification duties of firms when a suspected or actual breach of conduct rules, or other disciplinary action, has occurred.
- Know how the Certification Regime and Senior Managers Regime fit together and complement each other.
- Senior managers
- Executives who will be “certified persons”