Course description
Deciphering what exactly can be defined as ‘reasonable steps’, as set out by FCA regulations, can prove to be difficult. However, it is vital that senior managers have clarity on this term and how they should evidence that the appropriate reasonable steps have been taken to remain compliant.
Robert Bell presents this comprehensive and informative full day course which will provide practical guidance on the behaviours expected in regard to reasonable steps so that senior managers are comfortable and confident in their responsibilities. It will include an introduction to reasonable steps, what the FCA tells us, the SMF duty of responsibility, a framework example and more.
Upcoming start dates
Outcome / Qualification etc.
Training Course Content
Introduction
For senior managers, clarity on what constitutes ‘reasonable steps’ and how to evidence that the appropriate reasonable steps have been taken is proving to be a challenge for many firms.
This new full day course will provide practical guidance on the behaviours expected in respect of evidencing reasonable steps so that senior managers are comfortable and confident in managing their responsibilities.
The course is geared towards Senior Managers (SMFs) of FCA authorised and regulated firms, as well as Certified Compliance Functions, Heads of Compliance and Compliance Managers.
What You Will Learn
This course will cover the following:
- Introduction to reasonable steps
- What the FCA tells us
- Telling your story
- Breaking it down
- SMF duty of responsibility
- Framework example for a senior manager
- What does the evidence look like?
- Summary
Expenses
MBL Seminars Limited
MBL is a leading learning and development provider for professional service firms. Over the past 18 years, more than 198,000 people across 23,000 different organisations spanning 81 countries, have chosen us to deliver their training. With over 800 expert speakers...