Exploring the SYSC - A Management Guide for FCA Regulated Organisations

Introduction

With a large number of new regulatory and legislative requirements implemented over the previous four years, the importance of maintaining knowledge around more established regulations can fall by the wayside.

This virtual classroom session reviews the requirements of SYSC - the FCA’s Senior Management Arrangements, Systems and Controls sourcebook.

With the more robust expectations for senior managers applied through SMCR, this seminar covers the key requirements, and how they can be met in practice.

What You Will Learn

This live and interactive course will cover the following:

• Brief refresher of SMCR requirements - accountability and responsibilities
• Areas of responsibility - what the SMCR means for senior and other managers
• SYSC requirements
• Staff skills, knowledge and expertise
• Compliance, internal audit and financial crime, and risk control
• Outsourcing
• Record-keeping
• Conflicts of interest
• Risk management systems
• Whistleblowing
• Non-compliance and breaches - potential consequences

Recording of live sessions: Soon after the Learn Live session has taken place you will be able to go back and access the recording - should you wish to revisit the material discussed.