Compliance E-Learning: SMCR 

Endorsed CPD JPEG Logo

Since its introduction, the Senior Managers and Certification Regime (SMCR) has been a key regulation for all banking, insurance, and financial services firms.

Our extensive collection of CPD accredited e-learning modules aims to raise awareness and understanding of the Conduct Rules, ensuring a deeper comprehension of how these rules apply to each employee, as required by the FCA.

We offer tailored versions of each course to meet the diverse regulatory needs of dual-regulated firms (banking, insurance) and solo-regulated firms (core, enhanced, limited scope).

Request a Free Trial

Chevron Skillcast chevron graphic
Chevron Skillcast chevron graphic

SMCR Library

Our SMCR modules cover fit and proper assessments, non-financial misconduct, and the conduct rules applicable to senior managers, certified personnel, conduct rule staff, and non-executive directors.

 Introduction to SMCR

Duration

10 Minutes

Format

Microlearning

Updated

May-2023

Introduction to SMCR

The UK's financial services sector was rocked by scandals ranging from miss-selling to market manipulation over the past decade. This led to the launch of the SMCR.

Introduction to SMCR will help your employees gain a basic understanding of how these Conduct Rules affect them and your firm.

Course Details
SMCR Overview

Duration

50 Minutes

Format

E-learning

Updated

Apr-2023

SMCR Overview

SMCR Overview provides your employees with a more thorough understanding of the key steps needed to comply with the conduct rules.

Statements of Responsibilities, regulator pre-approvals, reasonable steps to stop breaches and duty of responsibility to identifying and assessing Certified Persons.

Course Details
Fit & Proper Assessments Training Course

Duration

20 Minutes

Format

E-learning

Updated

Jul-2023

Fit & Proper Assessments

In order to perform a Senior Management Function (SMF), Senior Managers need approval from the FCA and, for dual regulated firms, the PRA. 

Our SMCR Fit and Proper Assessments Training Course explains how regulators assess fitness and propriety in senior management.

Course Details
Conduct Rules for Senior Managers

Duration

40 Minutes

Format

E-learning

Updated

Nov-2024

Conduct Rules for Senior Managers

Senior Managers must comply with the FCA's six Individual Conduct Rules (ICRs), four Senior Managers Rules (SMRs) and take 'reasonable steps' to prevent breaches.

Conduct Rules for Senior Managers helps your team learn about these rules, their contraventions and their application in practical situations.

Course Details
conduct rules for NEDs

Duration

30 Minutes

Format

E-learning

Updated

Nov-2024

Conduct Rules for Non-Executive Directors (NEDs)

The Conduct Rules set the standard of personal conduct for everyone in financial services. NEDs are subject to higher standards and a higher level of accountability than others in the firm. 

Our Conduct Rules for Non-Executive Directors (NEDs) course outlines which conduct rules apply to NEDs.

Course Details
Meeting Conduct Rules

Duration

25 Minutes

Format

E-learning

Updated

Nov-2024

Meeting the Conduct Rules

Conduct Rules are the standards of behaviour set and enforced by the Prudential Regulation Authority (PRA) and Financial Conduct Authority (FCA).

The Meeting the Conduct Rules course explains the significance of these rules and helps staff learn how the rules apply to practical situations in their roles.

Course Details
SMCR & Non-financial Misconduct

Duration

15 Minutes

Format

Microlearning

Updated

Feb-2023

SMCR & Non-financial Misconduct

The FCA has indicated it is prepared to consider non-financial misconduct when assessing fitness and propriety.

This microlearning course will help your employees identify cases of non-financial misconduct and understand what can be done to promote a healthy conduct culture.

Course Details

SMCR Compliance Toolkit

SMCR 360 is a technology-based compliance solution that helps firms implement effective compliance and risk measures to deliver on their obligations under the Senior Managers and Certification Regime.

More on SMCR360

Chevron Skillcast chevron graphic
SMCR 360