Senior management responsibilities

Online course
£35 + VAT

Online course

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The principal financial services regulators, the Prudential Regulation Authority and the Financial Conduct Authority, require senior management of authorised firms to be aware of what the regulators expect of them and to be able to provide evidence of meeting regulatory requirements, were one or both of the regulators to visit the firm. This course covers key aspects of senior management responsibilities based on the regulators' handbooks and public statements made. The material has been aligned with what is generally perceived to be current best practice.

What you will learn

  • Background to importance of Senior Management Responsibilities
  • Governance
  • Policy and Control Framework
  • Key functions
  • Risk management
  • Preventing financial crime
  • Capital management
  • Board responsibilities

Who should attend

This course is aimed at those wishing to get an understanding of the responsibilities that the regulators require senior management in financial firms to undertake. The course will be of particular interest to Approved Persons

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  • Capital management
  • Governance
  • Challenge by non-executive directors
  • Risk management
  • Compliance / internal audit


Online course


Tel: 0330 060 3303


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