Learning Platform - "Trade Compliance & Surveillance"

Course: Background & Scope

About the online training programme

This training covers an introduction to the Senior Managers and Certification Regime (SM&CR). It touches on the basics of the package and sets out which authorities play a role in this field. The reasons for the introduction of SM&CR is covered, while explaining its objectives.

Course contents

This training includes the following topics:

• Background
  • Conduct failings
  • Parliamentary Commission for Banking Standards (PCBS)
• Supervision
  • Financial Conduct Authority (FCA)
  • Prudential Regulation Authority (PRA)
• Accountability framework
  • Objectives
  • Conduct
  • Competence
• Scope
  • Banks
  • Insurers
  • Solo-regulated firms
  • FSMA authorised firms