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The Certification Regime & Code of Conduct Reviews

If you are classified as a SMF and carry the prescribed responsibility for either the Certification Regime or the Code of Conduct you may wish to ensure that the steps that have been implemented by your firm represent reasonable steps taken by you to discharge your Duty of Responsibility.

We will be happy to take a look at any of the elements of your approach to ensure that you can have the peace of mind that you have covered what the regulator is seeking

If you would like peace of mind then why not ask for a Certification or Code of Conduct Review?  We will look at all the following aspects for you and grade your approach Green, Amber or Red.

Certification Regime

Cultural fit


Reporting & Controls

Certification Issue


Competence Approaches

Remuneration & Reward

Recruitment & Referencing

Code of Conduct




Cultural Fit

Breach Reporting


t&c CPD events

The Certification Regime

Certification Regime & Code of Conduct Reviews

Competent Trainer

Competence Schemes

supervisory competence assessments

t&c scheme design

T&c scheme review

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