Finance

Senior Management Responsibilities

CCL Academy

CCL Academy

Continuing Professional Development Points

3


Introduction

Holders of Senior Management Functions (SMFs) and Significant Influence Functions (SIFs) within FCA regulated firms have specific responsibilities under the regulatory regime. It is vital that individual senior managers understand the obligations that apply to their firm, and to them personally, and the potential implications of breaching FCA rules and PRA rules.

The principal requirements placed on SIFs are contained in the “Senior Management Arrangements, Systems & Controls” (SYSC) sourcebook of the FCA Handbook. This course explains the requirements contained in this part of the Handbook, the issues that senior management need to consider and the steps that managers need to take.


Summary

• Introduction
• Regulatory Framework
• Approved Persons
• Enforcement Action
• Application and Purpose of SYSC
• Principal areas of SYSC:
- SYSC 4 General Organisational
- SYSC 5 Employees
- SYSC 6 Compliance, internal audit and financial crime
- SYSC 7 Risk control
- Conduct and Culture
- SYSC 8 Outsourcing
- SYSC 9 Record-keeping
- SYSC 10 Conflicts of interest
- SYSC 18 Whistleblowing
- SYSC 19 Remuneration Code


Dates Avaliable


25th

July

2018

6th

September

2018

15th

November

2018

Requirements


This course is designed for holders of Significant Influence Functions in FCA regulated firms, and those who advise them on their regulatory obligations. It is particularly suitable for those taking on such a role for the first time. This could include: Chief Executives, Directors, Non-Executive Directors, Senior Managers, Compliance Officers

Accreditation

Overview

  • Location: London
  • Telephone: 03334432968
  • Residential: No
  • Course Title: Senior Management Responsibilities
  • Duration: 1 Days
  • Cost: £499 (Ex VAT)
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