TECHNICAL TALK
SM & CR Guides and Hub Our comprehensive and informative library of SM & CR Guides can be accessed through our SM & CR Hub , including our latest guide , released in July , to help you with your annual responsibilities . The Hub also contains a whole host of information on SM & CR awareness , training and policy documents .
Conduct Rules Training The Conduct Rules are relevant to all firms and almost all staff and give the FCA the power to reach deep into a firm and take action . They underpin the fundamental goals of the SM & CR - to improve standards , encourage accountability and emphasise the importance of proper conduct . The Rules will apply to the vast majority of staff and the senior manager with responsibility for the Conduct Rules ( a Prescribed Responsibility within core firms ) must ensure staff are trained and abide by the Conduct Rules . Conduct Rules training resources are included in your membership and are for use across firms , so can be undertaken individually or , if you are a manager , you may choose to download and assign the training within your own firm .
SM & CR Audit All of our compliance visits and audits are designed to give you peace of mind that your firm ’ s arrangements , systems and controls are meeting the regulator ’ s expectations . This dedicated day will be a blend of the educational and practical , involving one of our highly skilled compliance consultants discussing the new regime with the Senior Management of your firm and , specifically , the implications that the changes have on YOUR business .
Supervision Audit The focus of this visit is the adviser journey from recruitment , through inductions , attaining and maintaining competence , and up to the point at which an adviser exits . The audit is designed to examine and test the robustness of the procedures and record keeping that firms have in place to ensure that they can stand up to scrutiny from the regulator .
Training and knowledge supervisor workshops – December 2021 We would suggest that anyone in a supervisory or coaching position attends one of these workshops , because the course content could help you support the advisers you manage to develop their soft skills and – ultimately – develop higherquality long-term relationships with their clients and write more business . You ’ ll be accredited with 6 hours of CPD . We have three supervisor courses to choose from that are tailored for general insurance , investments and mortgages and protection specialists . continued on the following page E
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