Financial services regulatory compliance is complex, especially for those falling under the SMCR.
By using practical examples that reflect real-world SMCR dilemmas, you can ensure that staff know how to apply what they have learned in training.
We have created a series of scenarios to test that learners know how to apply what they have learned when faced with dilemmas that could happen in the workplace.
Our SMCR Scenario Tests present real-life situations to help ensure that your team understand best practices.
1. Prescribed Responsibilities | 7. Conduct Rule Breach Reporting |
2. Disclosures within Recruitment | 8. Material Risk Taker |
3. Reporting Lines | 9. Fit & Proper |
4. Learning & Development | 10. Reasonable Steps - Oversight |
5. Assessing the Most Senior Manager | 11. Handoffs Between SMFs |
6. Handover Between SMFs | 12. Regulatory References |