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).
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.
Duration
10 Minutes
Format
Microlearning
Updated
May-2023
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.
Duration
50 Minutes
Format
E-learning
Updated
Apr-2023
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.
Duration
20 Minutes
Format
E-learning
Updated
Jul-2023
Duration
40 Minutes
Format
E-learning
Updated
Nov-2024
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.
Duration
30 Minutes
Format
E-learning
Updated
Nov-2024
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.
Duration
25 Minutes
Format
E-learning
Updated
Nov-2024
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.
Duration
15 Minutes
Format
Microlearning
Updated
Feb-2023
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.