Senior Management Arrangements Systems and Controls
The Senior Management Arrangements Systems and Controls (SYSC) Sourcebook apply to authorised financial services firms. It ensures the allocation of responsibility in a way that helps leaders monitor and control a business.The purpose of SYSC rules is to encourage directors and managers to take practical responsibility, employ adequate risk management systems, and create a common standard for systems and controls.
Our Senior Management Arrangements Systems and Controls Course explains the responsibilities of senior managers as contained in the FCA Handbook.
- 25 Minutes
- Managers
- Based on UK legislation, but suitable for global audiences upon the removal of UK-specific references and translation as necessary.
Learning objectives
- Recognise the purpose of Senior Management Arrangements, Systems and Controls
- Identify how responsibilities are apportioned and recorded
- Know the necessary systems and controls
- Recognise the critical areas of systems and controls
- Explain how the Public Interest Disclosure Act protects whistleblowers
What can you expect your employees to learn?
Welcome
What are Senior Management Arrangements Systems & Controls?
Purpose of Senior Management Arrangements, Systems & Controls
Appointment of responsibilities
- Exercise: Apportionment of responsibilities
Recording the apportionment
Systems & controls
General organisational requirements
Critical areas of systems & controls
- Outsourcing
- Exercise: Key areas of systems & controls
Exercise: Systems & controls
- Scenario 2
- Scenario 3
- Scenario 4
- Scenario 5
- Scenario 6
Public Interest Disclosure Act: Whistleblowing
- Managers' responsibility
Summary
Affirmation
Assessment
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