The Essential Guide for Senior Managers of FCA Regulated Firms
Date: On a date of your choice
Location: Delivered as an interactive briefing
Event Code: EGSMFCA
the Code of Practice to Systems and Controls, a Senior Manager in a FCA
regulated firm needs to be on the ball across a wide range of topics to
demonstrate effective governance of the firm. This workshop style event is
designed to provide new and existing Directors of FCA regulated firms with up
to date insights and critical knowledge for a visit or interview.
- Duties of Directors under Company Law
- The differing roles of the Executive and
- Role and purpose of the Board and its committees
2. What the FCA expects of
High Level standards and your role in overseeing compliance with them
Significant Influence Functions (SIFs)
and continuing to meet Fitness and Propriety standards
of Conduct for Approved Persons
3. The FCA’s approach to visits and interviews
your risks are aligned to the FCA’s statutory objectives
of firms and what this means for you
topics: What they are and how they apply to you
4. Managing your interview
areas for preparation
versus joint responsibilities
and don’ts for the interview
5. Managing the increasing personal risk
Enforcement actions and what they convey
use of s166 skilled persons reports
6. The proposed expansion of the Senior Managers &
Who should attend?
Any Directors and Senior Managers who are approved or are seeking approval by the FCA. It is also ideal for those newly appointed as part of induction or as part of succession planning.
NB: If you are dual regulated then we have a separate tailored course.
- Ensure you know the standards that the FCA
expects and their fit with your responsibilities as a Company Director
- Understand how to meet and maintain fitness
- Ensure that your knowledge of the latest FCA hot
topics is up to date.
- Understand how your business model and culture
are measured and assessed.
- Know what you might be asked and why about the
governance, strategy, and culture in your firm.
- Consider example questions from the FCA and how best
to prepare for them.
- Explore examples of regulatory remedies
including s166 skilled persons reports, attestations, and Enforcement action.
- Understand how the government proposal to extend
the Senior Managers and Certification regime to all sectors of financial
services, replacing the Approved Persons Regime may impact you.
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