Financial Services Regulation for HR specialists: including SM&CR - 24 September 2019

24 September 2019 - 1:00pm - 3:00pm BST
Training (London)
ACA Compliance (Europe)
ACA Compliance (Europe) Limited 130 Jermyn Street London SW1Y 4UR
£299 + VAT

Course Overview:

This workshop is specifically designed for human resources specialists to help them understand the regulatory expectations and responsibilities relating to their role. It is intended to explain the implications of working in a regulated environment and, in particular, to address those aspects of the regulatory regime which have a direct impact on the HR function, with particular reference to Approved Persons and the Senior Managers and Certification Regime (SM&CR).

Course Objectives:

Attendance at this course will provide you with:

  • An awareness of the nature of financial services regulation
  • An opportunity to clarify how the regulatory regime impacts on HR activities
  • A recognition of the specific obligations which fall to HR as a result of the regulatory requirements
  • An ability to identify opportunities for using the regulatory framework as a vehicle for demonstrating the value of the HR function to the business
  • An awareness of recent regulatory developments which are relevant to HR

Key topics:

  • The UK financial services regulatory framework
  • The FCA rules governing people (principles, systems and controls)
  • Fit and proper and the Approved Persons regime
  • The Senior Managers and Certification Regime
  • Regulatory references
  • Achieving, assessing and maintaining competence
  • Discipline and the Conduct Rules
  • HR governance and culture

Course aimed at: Human Resources and Learning and Development specialists as well as those in the control functions (Risk, Compliance, Legal and Internal Audit).

This course can be delivered onsite or as an instructor lead course at a firm’s office.

If you would like to discuss your training requirements in more detail please Contact ACA or call +44 (0)20 7042 0560 or your usual ACA consultant.