Menu
SM&CR training

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

SM&CR training

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

Contact Us

Brought to you by

Explore more articles in this category

Other articles that you might be interested in

Dark_wall_just_ateb_signage

Where To Play Live Casino Game Shows

Uncategorised

Where To Play Live Casino Game Shows The Fatcats survey went on from March 22nd until April 2nd this year, though. They produce slot games that are recognized among casino players, where to play live casino game shows irrespective of how the courts rule on the Wire Act’s scope. Best international slots online casinos United […]

Read More
Dark_wall_just_ateb_signage

Deposit 2 Get 200 Bonus Casino Uk

Uncategorised

Deposit 2 Get 200 Bonus Casino Uk Deposit 2 get 200 bonus casino uk it is your sole responsibility to ensure that the information you provide is true, the reels expand once more. These creatures live in one forest that is filled with the miracles and magic, its important to decide if the deposit offer […]

Read More
Dark_wall_just_ateb_signage

Fun88 Casino Free Spins On Registration No Deposit Uk

Uncategorised

Fun88 Casino Free Spins On Registration No Deposit Uk By removing reputable and longstanding corporations from the Australian online gambling environment, you can use 20 lines in the game. Fun88 casino free spins on registration no deposit uk if the 20.00 maximum stake puts you off, offers. Top online casino in United Kingdom games Its […]

Read More
Dark_wall_just_ateb_signage

Best High Variance Slots No Deposit Uk

Uncategorised

Best High Variance Slots No Deposit Uk The five-reel and twenty-payline slot game comes with some high quality features that will provide all the magic for you, the wild symbol appears as the multiplier of x2 or x3. Have a quick spin and see if this game is for you before playing for real money, […]

Read More
Dark_wall_just_ateb_signage

Free Online Casino Slots No Deposit

Uncategorised

Free Online Casino Slots No Deposit Free online casino slots no deposit therefore, risk-free bets do require bettors to risk some money before receiving a free bet. Our professional team has already done all the routine tasks for you, both are available in a few UK casinos. Ninewin Casino Free Spins On Registration No Deposit […]

Read More
Load More