Menu
SM&CR training
Compliance

During a recent workshop, the FCA commented on SM&CR training.  They do not believe that some e-learning or short generic training meets their requirements.

We believe that this is primarily a reference to the need for all staff to understand the intention of the SM&CR to move firms to a culture of accountability at all levels. Accordingly, Conduct Rules training should include the opportunity for individuals to identify how these apply to their own organisation and, in particular, to their role within the organisation.

Don’t forget to check Our View about this article and the Actions Required By You

arrow-top-right

Important Note: ATEB news is intended to provide general information ONLY. The content, including any views expressed or guidance provided, does not replace the need to comply fully with FCA Rules and Guidance. Unless you have discussed news article content with ATEB, and specifically how it relates to your circumstances, then ATEB disclaims all liability and responsibility and actions arising from any reliance placed upon it. For the avoidance of doubt therefore, any reliance you place on such information without our consultation is at your own risk.

ATEB Compliance offers compliance and regulatory advice.

ATEB Suitability provides report writing software for the financial services market.

Our View

We have created a suite of tools and guides to assist firms in implementing the SM&CR.

In particular, we have a Conduct Rules training presentation that we believe addresses the issues that the FCA has raised.

Action Required By You

  • Contact your usual ATEB Consultant for assistance with SM&CR or contact ATEB here.
SUIT - Beautiful Reports
CREATE BEAUTIFUL
SUITABILITY
REPORTS
TRY IT FOR FREE
SUIT - Complete Control
TAKE BACK
CONTROL OF YOUR
SUITABILITY REPORT
PRODUCTION
TRY IT FOR FREE
SUIT - Comp confidence
SUITABILITY
REPORTS
WITH FULL
COMPLIANCE
CONFIDENCE
TRY IT FOR FREE
previous arrow
next arrow

About the Author

Alistair MacDougall

Technical Manager - Often referred to as the Oracle or the Sage, Alistair has a wealth of financial services experience. He is our go-to Technical Manager and enjoys nothing more than a complicated conundrum. Feel free to test his renowned knowledge by getting in touch.

Contact Us

FCASM&CR
Compliance

Brought to you by

Explore more articles in this category

Other articles that you might be interested in

NEW ‘CAPTIAL REDEMPTION BOND’ PRODUCT

Template Enhancement: New ‘Capital Redemption Bond’ Product

Suitability , , , , , ,

We have completed the latest upgrade to ATEB Suitability on 16 September 2024. This update comes at no additional cost and provides various template-related enhancements.    Full details of the enhancements can be found below: Suitability Report Template: New ‘Capital Redemption Bond’ product type ‘Capital Redemption Bond’ has been added as a new product type […]

Read More
Ateb News banner – 85@2x

ATEB Suitability wins Best Suitability Report Generator at the 2024 UK Enterprise Awards

Suitability , , ,

ATEB Suitability is proud to announce its recent accolade at the 2024 UK Enterprise Awards, where it won “Best Multi-Product Suitability Report Generator.” This award recognises ATEB Suitability’s innovative approach to suitability report generation, setting new standards in the industry for accuracy, efficiency, and user-friendliness. The UK Enterprise Awards celebrate outstanding businesses and organisations that […]

Read More
iboss bg

New Content Integration with IBOSS Asset Management

Suitability , , , ,

We have some exciting news on the latest upgrade to ATEB Suitability on 1st August 2024. This update comes at no additional cost and provides a new addition to our content integration library.     We have partnered with IBOSS to provide our customer firms with access to the following: A description of their service A […]

Read More
atebsuitabilityXplannr bkg

New Data Integration with Plannr

Suitability , , , ,

We are thrilled to announce that Plannr CRM has been added to our list of data integration partners.     Presenting a seamless integration between Plannr and ATEB suitability. Improved efficiency in creating suitability reports! Within Plannr, you can access ATEB Suitability directly through your client record and pre-populate your client data within our suitability report […]

Read More
News bkg

Content Management Update – Providers, Platforms & Investments

Suitability , , ,

We have completed the latest upgrade to ATEB Suitability on 6 June 2024. This update comes at no additional cost and provides various updates to our ‘Content Management’ libraries. Full details can be found below: ‘Provider/Platform’ Descriptions Our current library bank of ‘Provider/Platform’ descriptions has been fully updated, including new assets under management (AUM) figures. […]

Read More
Load More