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Senior Manager Accountability

The purpose of our Senior Manager Accountability courses is to raise awareness of the regulations in many countries that aim to increase accountability of senior managers. Several regulators have issued new directives that will have an important impact on banks and other financial institutions.

Geography Covered: Global | Duration: 40-45 minutes

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Summary

The financial crisis of the late 2000s and its causes triggered regulators in key financial centers to focus on the importance of firm culture and conduct. Over the last few years, several jurisdictions have adopted new regulations to increase the accountability of senior managers. The UK’s Senior Managers and Certification Regime is at the forefront of this regulatory initiative. Other regulators in Hong Kong, Singapore and Australia have followed suit, promulgating regulations and guidelines similar in spirit to the UK rules. The US has also implemented regulations to improve accountability.

According to a recent study, more than 60% of senior managers interviewed are in favor of the new regulations and believe they are effective in improving financial firm conduct and compliance

  • Senior Manager Accountability (Global)
    Enabling learners to understand the regulatory landscape on a global scale by covering regulations in various jurisdictions such as: UK -SMCR — Senior Management Certification Regime, Hong Kong - MICR — Manager in Charge Regime, Australia: BEAR — Banking Executive Accountability Regime, Singapore: Proposed guidelines on individual accountability and conduct (MAS), US: Regulations from various regulators SEC, FINRA, Federal Reserve Board, France: Monetary and Financial Code and Germany: Banking Act

    UK and Europe Courses
    Senior Managers and Certification Regime (SM&CR) – Overview (UK)
    This Senior Managers and Certification Regime — Overview is intended to provide learners with an overview of the UK’s regime for senior managers and certified persons, as well as an introduction to the SMCR’s Conduct Rules.

    Senior Managers and Certification Regime (SM&CR) – Conduct Rules (UK)
    This Senior Managers and Certification Regime – Conduct Rules is intended to introduce Learners to the SMCR, with a focus on the individual conduct rules that apply to all non-ancillary financial firm staff

  • Like with all our courses, the Senior Manager Accountability training courses are written by experts and powered by world-leading regulatory intelligence, which tracks more than 900 regulators and exchanges globally to ensure the course content is always up to date.

    All our training courses are driven by practical examples and interactive scenarios to ensure users truly understand and recognize the issues of most importance to your business and learn to instinctively act to support them.

    We employ instructional design techniques optimized for risk and compliance training, enabling your business to educate in a way that reduces risk and helps you build a culture of integrity and compliance.

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