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Conduct Rules for Senior Managers at FCA Solo Firms

Under the Senior Managers Regime, all senior managers must comply with the FCA's six Individual Conduct Rules (ICRs) and four Senior Managers Rules (SMRs).

Senior Managers are expected to comply with all 10 Conduct Rules and take 'reasonable steps' to prevent breaches.

Our SMCR Conduct Rules Course helps your Senior Managers to learn about the rules, their contraventions and their application in practical situations
Start your trial Course details
  • 60 Minutes
  • Managers
  • Based on UK legislation, but suitable for global audiences upon the removal of UK-specific references and translation as necessary.
  • FCA Compliance Library, SMCR Library

Learning objectives

  • Recall the Financial Conduct Authority (FCA) Conduct Rules that apply to you as a Senior Manager
  • State to whom the FCA Conduct Rules apply
  • Explain how the FCA Conduct Rules apply in practice
  • Describe how you will comply with the Conduct Rules in your role
  • Describe when the FCA might take action for non-compliance with the Conduct Rules

    What can you expect your employees to learn?

Introduction

What are the Conduct Rules for Senior Managers?

  • What are the Conduct Rules?

Individual Conduct Rule 1: Integrity

  • Examples of breaches
  • You decide: Is it a breach?
  • Individual Conduct Rule 1: Key takeaways

Individual Conduct Rule 2: Due skill, care & diligence

  • Examples of breaches
  • You decide: Is it a breach?
  • Individual Conduct Rule 2: Key takeaways

Individual Conduct Rule 3: Cooperation with regulators

  • Examples of breaches
  • You decide: Is it a breach?
  • Individual Conduct Rule 3: Key takeaways

Individual Conduct Rule 4: Customers' interests

  • Examples of breaches
  • You decide: Is it a breach?
  • Individual Conduct Rule 4: Key takeaways

Individual Conduct Rule 5: Market conduct

  • Examples of breaches
  • You decide: Is it a breach?
  • Individual Conduct Rule 5: Key takeaways

Individual Conduct Rule 6: Consumer Duty

  • Examples of breaches
  • You decide: Is it a breach?
  • Individual Conduct Rule 6: Key takeaways

Additional rules for Senior Managers

Senior Manager Conduct Rule 1: Effective control

  • Examples of breaches
  • You decide: Is it a breach?
  • Senior Manager Conduct Rule 1: Key takeaways

Senior Manager Conduct Rule 2: Compliance with regulatory requirements

  • Examples of breaches
  • You decide: Is it a breach?
  • Senior Manager Conduct Rule 2: Key takeaways

Senior Manager Conduct Rule 3: Effective delegation

  • Examples of breaches
  • You decide: Is it a breach?
  • Senior Manager Conduct Rule 3: Key takeaways

Senior Manager Conduct Rule 4: Disclosures to regulators

  • Examples of breaches
  • You decide: Is it a breach?
  • Senior Manager Conduct Rule 1: Key takeaways

Breach notification

Serious consequences

  • In the news: Regulatory repercussions

Summary

Assessment

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Your questions, answered

SMCR

Common FAQs

What is SMCR?

There are three key parts to the SMCR: Senior Managers Regime, Certified Persons Regime and Conduct Rules.

Senior Managers Regime
This enforces a detailed and clear allocation of responsibilities between senior managers at each firm, with particular emphasis placed on key documents - 'Statements of Responsibilities' and 'Responsibilities Maps'. These help to record the distribution of responsibility to individual Senior Managers and to demonstrate to the regulators that there are no gaps or excessive overlaps.

Always bear in mind that Senior Managers have a statutory duty of responsibility "to take reasonable steps to prevent regulatory breaches in the areas of the firm for which they are responsible".
Certification Regime
This requires firms to check and confirm that employees performing roles relating to the firm's regulated activities are fit and proper, based on their qualifications, competence and personal characteristics.

Once this has been confirmed, the firm needs to issue them with a certificate that must be renewed every year.
Conduct Rules
This consists of a set of rules provided in the FCA's Code of Conduct Handbook (COCON) that covers all individuals: Senior Managers, Certified Persons and other employees.

What is the scope of the SMCR?

SMCR rollout waves
The SMCR has been rolled out in three waves:

Wave 1: Banks, building societies, credit unions and large investment firms in March 2016 (updated July 2018)
Wave 2: Extended to insurance firms (those regulated by the FCA and PRA) in December 2018
Wave 3: The remaining financial services firms (otherwise known as 'solo-regulated firms' since they are regulated only by the FCA, not the FCA and PRA) came under the scope of this regime in December 2019.

SMCR categories
The range of firms in the third wave is very diverse. Consequently, the FCA has grouped them into three categories to ensure that the regulation is proportionate to their sizes and activities:

Core: Firms that have to comply with the baseline requirements for solo-regulated firms
Limited scope: Firms that already had exemptions under the Approved Persons Regime, and are exempt from some requirements and require fewer senior management functions
Enhanced: Firms that have extra requirements - these are large, complex firms with potential impact on consumers or markets which warrant more attention from the FCA

What's needed to comply with SMCR?

  1. Statement of Responsibilities - Set out the areas for which each Senior Manager is personally accountable
  2. Responsibilities Map - This knits together the Statement of Responsibilities
  3. Pre-approval for all Senior Managers - obtain this from the regulators before they carry out their roles
  4. Duty of Responsibility - Ensure that Senior Managers understand their responsibilities and take reasonable steps to prevent regulatory breaches in their areas of responsibility
  5. Identify all Certified Persons - These are all material risk takers
  6. Fit and Proper Assessment - Of all Certified Persons, then re-assess on an annual basis
  7. Training - Of all those who are subject to the Conduct Rules

SMCR Training

To stay on the right side of the FCA's guidance, all firms must ensure that all employees subject to the conduct rules are notified and provided with 'suitable' training.

Such training must result in employees gaining awareness and a broad understanding of all of the conduct rules, as well as a deeper understanding of the practical application of the specific rules which are relevant to their work.

To help with SMCR implementation, we have created a 3-step training model.

We provide a comprehensive set of SMCR training courses for all financial firms, including banking, insurance and solo-regulated firms.

Duty of Responsibility

Senior Managers have a statutory duty of responsibility "to take reasonable steps to prevent regulatory breaches in the areas of the firm for which they are responsible".

The FCA can take action against a Senior Manager (SM) where it can show that:
There was misconduct by the SM's firm,
At the time of the misconduct or during any part of it, the SM was responsible for the management of any of the firm's activities in relation to which the misconduct occurred, and the SM did not take such steps as a person in their position could reasonably have been expected to take to avoid the misconduct occurring or continuing.


The burden of proof for all these elements lies on the FCA. The SM does not need to show that they took reasonable steps - rather, it is for the FCA to prove that they did not. The defence against such action is if the senior manager can show that they took "the steps that are reasonable for a person in that position to take to prevent a regulatory breach from occurring".

Fitness and Propriety

The FCA must approve all senior managers, which assess whether they are fit and proper to perform the given function or responsibility.

Three key factors determine whether you are Fit and Proper:
Honesty, integrity and reputation
Competence and capability
Financial soundness


When determining a person's financial soundness, the FCA will not normally require a statement of assets or liabilities of the person. Limited financial means does not in itself affect the suitability of a person to perform an SMF.

When appointing a Senior Manager or Certified Person, firms must obtain a regulatory reference from all their past employers going back six years. This requirement also applies when appointing NEDs who are not Senior Managers.

For this purpose, firms need to retain records of disciplinary and fit and proper findings going back six years and not enter into arrangements that conflict with their disclosure obligations.

What are the SMCR Conduct Rules?

SMCR incorporates new high-level standards of behaviour that apply to almost all employees who carry out financial services activities in a firm. Some Conduct Rules apply to all employees, while others apply only to Senior Managers.

The Conduct Rules are intended to drive up standards of individual behaviour in financial services. By applying them to a broad range of staff, the FCA aims to improve individual accountability and awareness of conduct issues across firms.

Individual Conduct Rules (ICRs)
These apply to all employees, with the exception of ancillary staff, such as facility managers, personal assistants, receptionists, medical staff, IT and HR, who perform a purely non-financial service's role. These ICRs also apply to Non-Executive Directors.
ICR 1: You must act with integrity
ICR 2: You must act with due skill, care and diligence
ICR 3: You must be open and cooperative with the FCA, the PRA and other regulators
ICR 4: You must pay due regard to the interests of customers and treat them fairly
ICR 5: You must observe proper standards of market conduct

Senior Manager Conduct Rules (SMCRs)
These apply only to Senior Managers, including NEDs (SC 4 even applies to out of scope NEDs)
SC 1: You must take reasonable steps to ensure that the business of the firm for which you are responsible is controlled effectively
SC 2: You must take reasonable steps to ensure that the business of the firm for which you are responsible complies with the relevant requirements and standards of the regulatory system
SC 3: You must take reasonable steps to ensure that any delegation of your responsibilities is to an appropriate person and that you oversee the discharge of the delegated responsibility effectively
SC 4: You must disclose appropriately any information of which the FCA or PRA would reasonably expect notice

What does SMCR Best Practice look like?

Stay up to date with SMCR best practices, industry insights and key trends across regulatory compliance, digital learning, EdTech and RegTech by subscribing to the Skillcast Compliance Bulletin.

3-Step SMCR Training Model
Whether you're new to the SMCR or benchmarking existing processes, our training model will help get your compliance training on track.

FCA Conduct Rules Training Aid
Our desk aid has ten tips on how to ensure your staff fully understand and adhere to conduct rules.

FCA COCON Breaches Desk Aid
Our desk aid reminds all of your staff fully of the ten easiest ways to breach the FCA Code of Conduct.

Operational Resilience Implementation Checklist
Ensure your firm follows the FCA guidelines for a compliant operational resilience programme.

Fit and Proper Training Presentation
Firms need to assess the Fitness and Propriety (F&P) of Senior Managers and Certified Persons when they are appointed and on an ongoing basis. Our F&P training presentation uses scenarios to help explain this further.

SMCR & Non-financial Misconduct
A lack of public confidence and some damaging press stories have renewed the FCA's focus on conduct, including non-financial misconduct. Find out more, including a free training module and a desk aid.

SMCR Solo-Regulated Firms Key Questions Answered
We answer the questions every solo-regulated firm has been asking.

SMCR Insurance Firms Key Questions Answered
We also answer the questions every insurance firm has been asking.

How to Evidence your SMCR Competence
If you cannot articulate what is adequate and competent within your firm, you simply won't be able to evidence SMCR compliance when the FCA comes knocking!

How to Prevent SMCR Training Damaging Staff Motivation
SMCR created a step-change in personal accountability, causing a headache, especially when dealing with those who've never been accountable before. That's why it's important to take steps to address any issues before they spiral out of control.

 

 

What are the SMCR Functions?

The Senior Managers Regime (SMR) applies to those who perform a Senior Management Function (SMF). The FCA has classified specific functions as SMFs, so that it knows who a firm's senior decision-makers are, and to make sure that firms clearly allocate specific responsibilities to those key individuals.

In certain circumstances, firms can have more than one individual performing a single SMF. However, the FCA expects that SMFs are only shared where it is justified and appropriate.

 

The list of SMFs that apply depends on the type of firm.

5.1 Governing Function SMFs

SMF1 Chief Executive Core and Enhanced firms
SMF3 Executive Core and Enhanced firms
SMF7 Group Entity Senior Manager Enhanced firms only
SMF 9 Chair (non-executive) Core and Enhanced firms
SMF10 Chair of the Risk Committee Enhanced firms only
SMF11 Chair of the Audit Committee Enhanced firms only
SMF12 Chair of the Remuneration Committee Enhanced firms only
SMF13 Chair of the Nominations Committee Enhanced firms only
SMF14 Senior Independent Director Enhanced firms only
SMF27 Partner Core and Enhanced firms

5.2 Required Function SMFs

SMF16 Compliance oversight Core and Enhanced firms (and sole traders, authorised professional firms and oil market participants)
SMF17 Money Laundering Reporting officer Core and Enhanced firms and (and sole traders and oil market participants)
SMF18 Other Overall Responsibility Enhanced firms only
SMF29 Limited Scope Function Limited Scope firms (e.g. limited permission consumer credit firms, authorised professional firms, firms that intermediate insurance without this being principal business)

 

The Overall Responsibility requirement means that an Enhanced firm will need to make sure that every activity, business area and management function has a Senior Manager with overall responsibility for it. This is to prevent an unclear allocation of responsibilities.

Overall Responsibility means that a Senior Manager:

  • Has ultimate responsibility for managing or supervising a function
  • Briefs and reports to the governing body about their area of responsibility
  • Puts matters requiring decisions about their area of responsibility to the governing body

5.3 Systems and Control SMFs

SMF2 Chief Finance Function Enhanced firms only
SMF4 Chief Risk Function Enhanced firms only
SMF5 Head of Internal Audit Enhanced firms only
SMF24 Chief Operations Function Enhanced firms only

What are the required responsibilities under the SMCR Responsibilities

You need to be aware that there are more responsibilities for Senior Managers than just the ones found within each SMF's definition. The regulators have listed certain 'Prescribed Responsibilities' (PRs) that each firm is required to allocate between Senior Managers.

Each PR would generally be allocated to the Senior Manager who performs the SMF most closely linked to the given responsibility. PRs can be shared but not split between Senior Managers. Where responsibility is shared, it is recorded identically in each of the Senior Manager's Statements of Responsibilities.

If there is a breach, all Senior Managers sharing that responsibility may be required to demonstrate that they took reasonable steps to prevent or stop the breach.

The list of PRs that applies depends on the type of firm. Responsibilities (a), (b), (b-1), (d) below cannot be allocated to SMF 18 (Other Overall Responsibility) and responsibilities (j), (k), (l) below should be performed by a non-executive director if possible.

(a) Performance by the firm of its obligations under the SMR, including implementation and oversight All firms
(b) Performance by the firm of its obligations under the Certification Regime All firms
(b-1) Performance by the firm of its obligations in respect of notifications and training of the Conduct Rules All firms
(d) Responsibility for the firm's policies and procedures for countering the risk that the firm might be used to further financial crime All firms
(z) Responsibility for the firm's compliance with CASS (if applicable) All firms
(c) Compliance with the rules relating to the firm's Responsibilities Map Enhanced firms only
(j) Safeguarding and overseeing the independence and performance of the internal audit function (in accordance with SYSC 6.2) Enhanced firms only
(k) Safeguarding and overseeing the independence and performance of the compliance function (in accordance with SYSC 6.1) Enhanced firms only
(l) Safeguarding and overseeing the independence and performance of the risk function (in accordance with SYSC 7.1.21R and SYSC 7.1.22R) Enhanced firms only
(j -3) If the firm outsources its internal audit function, taking reasonable steps to ensure that every person involved in the performance of the service is independent from the persons who perform external audit, including supervision and management of the work of outsourced internal auditors, and management of potential conflicts of interest between the provision of external audit and internal audit services Enhanced firms only
(t) Developing and maintaining the firm's business model Enhanced firms only
(s) Managing the firm's internal stress tests and ensuring the accuracy and timeliness of information provided to the FCA for the purposes of stress-testing Enhanced firms only
(za) Responsibility for an AFM's assessments of value, independent director representation and acting in investors' best interests Authorised Fund Managers

Are Skillcast courses SCORM-compliant?

Yes. This means they can be delivered via the Skillcast Portal or any other SCORM-compliant Learning Management System.

What other tools are needed beyond training?

A comprehensive compliance solution often needs more than just training. Alongside e-learning, tools like declarations, surveys, and registers that track compliance tasks are usually essential. Skillcast provides full support to help you set up these additional tools.

Is our training content still compliant with the latest legislation?

  • You can check the latest course content updates in our library updates page: https://www.skillcast.com/compliance-course-library-updates
  • For major legislative changes, we:
    • Will send you email alerts to ensure you are notified
    • Offer you a free trial of newly created or updated content
    • Host webinars with compliance experts to explain the changes and how our training supports your ongoing compliance

Can you translate our content into other languages?

Yes, we offer translations in a wide range of languages. Let us know your needs, and we’ll confirm availability or work with you to plan translations for your selected modules.

How can I give employees a secure way to record suspicious activity so we can act quickly?

Our Suspicious Activity Register allows staff to log concerns or irregularities they observe, helping you detect potential issues early. The secure register can be reviewed by compliance teams, enabling prompt investigation and action.

What file types are supported by the Skillcast system?

Features

Supported file types and details

File Exchange

File types: PDF, Excel spreadsheets, Word documents, SCORM and xAPI files, and compressed zip files. Max file size: Default is 1GB, can be increased to a max of 2GB

SCORM files

Versions: SCORM 1.2, SCORM 1.2 for Moodle, SCORM 2004 2nd, 3rd and 4th Edition. Max file size: 1024MB

xAPI file

Max file size: 2GB

Videos

File types: MP4 or MOV. Videos must be optimised, with a max file size of 100MB. If the file is bigger, our Design Team can help

Images

File types: jpg, png and gif. The file size should ideally be 100KB, but it can be up to 250KB

CPD evidence

File types: Word, PDF, Excel and CSV. File size: the limit should be whatever the portal config option is set to. Servers are set to max 2GB

Policy documents

PDF or Word File size: the limit should be whatever the portal config option is set to. Servers are set to max 2GB

Offline activities evidence

File types: PDF, DOC, DOCX, XLS, XLSX, CSV, PNG, GIF, JPEG, JPG, PPTX and MSG. File size: the limit should be whatever the portal config option is set to. Servers are set to max 2GB

Client logo files

File types provided by client: EPS, PDF, AI and SVG

Registers

PDF, DOC, DOCX, XLS, XLSX, CSV, PPT, PPTX, POT, PPA, PPS, JPG, JPEG, PJEPG, PNG, BMP, GIF, MP4, MOV, WMV, CPTX, CP, TXT, ZIP and MSG files

Declarations

JPG, JPEG, PNG, GIF, XLS and XLSX files

 

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Failing to Disclose Information

Bring "Failing to Disclose Information" compliance training to life using animation characters and storylines.

Microlearning 5 Minutes Fraud Prevention All staff

Targets of Sexual Harassment

Bring "Targets of Sexual Harassment" online training to life using animation characters and storylines.

Microlearning 5 Minutes Preventing Harassment All staff

Forced Labour Indicators

Bring "Forced Labour Indicators" online compliance training to life using animation characters and storylines.

Microlearning 5 Minutes ESG All staff

Interacting on Social Media

Bring "Interacting on Social Media" e-learning to life using animation characters and storylines.

Microlearning 5 Minutes ESG All staff

Dealing With Stress at Work

Bring "Dealing With Stress at Work" online training to life using animation characters and storylines.

Microlearning 5 Minutes All staff

Deepfake Awareness

Bring "Deepfake Awareness" compliance training to life using animation characters and storylines.

Microlearning 5 Minutes Cybersecurity DORA All staff

Horizontal Agreements

Bring "Horizontal Agreements" e-learning to life using animation characters and storylines.

Microlearning 5 Minutes All staff

The Three Stages of Money Laundering

Bring "The Three Stages of Money Laundering" e-learning to life using animation characters and storylines.

Microlearning 5 Minutes Financial Crime All staff

Common Cyber Threats

Bring "Common Cyber Threats" online training to life using animation characters and storylines.

Microlearning 5 Minutes Cybersecurity DORA All staff

Preventing Tipping Off

Bring "Preventing Tipping Off" e-learning to life using animation characters and storylines.

Microlearning 5 Minutes Financial Crime All staff

Personal Data Breaches

Bring "Personal Data Breaches" online training to life using animation characters and storylines.

Microlearning 5 Minutes Data Protection (GDPR) All staff

Understanding Sexual Harassment

Bring "Understanding Sexual Harassment" online learning to life using animation characters and storylines.

Microlearning 5 Minutes Preventing Harassment All staff

Understanding Facilitation Payments

Bring "Understanding Facilitation Payments" e-learning to life using animation characters and storylines.

Microlearning 5 Minutes Bribery Prevention All staff

Data Protection Impact Assessments

Bring "Data Protection Impact Assessments" online training to life using animation characters and storylines.

Microlearning 5 Minutes Data Protection (GDPR) All staff

Zero Trust Cybersecurity

Bring "Zero Trust Cybersecurity" online training to life using animation characters and storylines.

Microlearning 5 Minutes Cybersecurity DORA All staff

Introduction to the Senior Managers and Certification Regime (SM&CR)

The UK's financial services sector has been rocked over the past decade by scandals ranging from misselling to market manipulation.

Read more

Express 10 Minutes SMCR All staff

COBS - Client Categorisation

The Conduct of Business Sourcebook (COBS) applies to financial firms in the UK that deal with client investments.

Read more

In-depth 20 Minutes Financial Crime All staff

Information Barriers

The flow of information in financial firms needs monitoring between businesses involved with private and public side activities.

Read more

In-depth 45 Minutes Financial Crime All staff

Senior Management Arrangements Systems and Controls

The Senior Management Arrangements Systems and Controls (SYSC) Sourcebook apply to authorised financial services firms.

Read more

In-depth 25 Minutes Financial Crime Managers

Overview of SM&CR for Dual Regulated Firms

Our SMCR Overview training course will help your employees understand the key steps needed to comply with the regime.

Read more

In-depth 30 Minutes SMCR All staff

Fit and Proper Assessments

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

Read more

Express 20 Minutes SMCR All staff

Conduct Rules for Senior Managers at Insurance Firms

Under the Senior Managers Regime, all senior managers must comply with the FCA's six Individual Conduct Rules (ICRs) and four Senior Managers Rules (SMRs).

Read more

In-depth 60 Minutes SMCR All staff

Conduct Rules for Non-Executive Directors (NEDs)

NEDs are an important part of a firm's governance and provide independence and oversight.

Read more

In-depth 30 Minutes SMCR Managers

SMCR & Non-financial Misconduct

Non-financial misconduct is behaviour that is unrelated to regulated activities, including serious offences such as harassment, bullying, sexual discrimination and sexual misconduct The FCA has indicated it is prepared to consider non-financial misconduct when assessing fitness and propriety.

Read more

Express 15 Minutes SMCR All staff

Bring Your Own Device Security

Bring "Bring Your Own Device Security" training to life using animation characters and storylines.

Microlearning 5 Minutes DORA Cybersecurity All staff

Device Hygiene

Bring "Device Hygiene" training to life using animation characters and storylines.

Microlearning 5 Minutes DORA Cybersecurity All staff

Malware

Bring "Malware" training to life using animation characters and storylines.

Microlearning 5 Minutes DORA Cybersecurity All staff

Ransomware

Bring "Ransomware" training to life using animation characters and storylines.

Microlearning 5 Minutes Cybersecurity DORA All staff

Smishing

Bring "Smishing" training to life using animation characters and storylines.

Microlearning 5 Minutes Cybersecurity DORA All staff

Spear Phishing

Bring "Spear Phishing" training to life using animation characters and storylines.

Microlearning 5 Minutes Cybersecurity DORA All staff

Video Conferencing

Bring "Video Conferencing" training to life using animation characters and storylines.

Microlearning 5 Minutes Cybersecurity DORA All staff

Vishing

Bring "Vishing" training to life using animation characters and storylines.

Microlearning 5 Minutes Cybersecurity DORA All staff

Creating Strong Passwords

Bring "Creating Strong Passwords" training to life using animation characters and storylines.

Microlearning 5 Minutes Cybersecurity DORA All staff

Multi-factor Authentication

Bring "Multi-factor Authentication" training to life using animation characters and storylines.

Microlearning 5 Minutes Cybersecurity DORA All staff

Reacting to Password Breaches

Bring "Reacting to Password Breaches" training to life using animation characters and storylines.

Microlearning 5 Minutes Cybersecurity DORA All staff

Information Classification

Bring "Information Classification" training to life using animation characters and storylines.

Microlearning 5 Minutes Cybersecurity DORA All staff

Information Security on the Move

Bring "Information Security on the Move" training to life using animation characters and storylines.

Microlearning 5 Minutes Cybersecurity DORA All staff

Tailgating and Piggybacking

Bring "Tailgating and Piggybacking" training to life using animation characters and storylines.

Microlearning 5 Minutes Cybersecurity DORA All staff

Secure Web Browsing

Bring "Secure Web Browsing" training to life using animation characters and storylines.

Microlearning 5 Minutes Cybersecurity DORA All staff

Supply Chain Cybersecurity

Bring "Supply chain cybersecurity" training to life using animation characters and storylines.

Microlearning 5 Minutes Cybersecurity DORA All staff

Transferring Information Securely

Bring "Transferring Information Securely" training to life using animation characters and storylines.

Microlearning 5 Minutes Cybersecurity DORA All staff

Using Wi-Fi safely

Bring "Using Wi-Fi safely" training to life using animation characters and storylines.

Microlearning 5 Minutes Cybersecurity DORA All staff

Advising Customers on Cybersecurity

Bring "Advising customers on cybersecurity" training to life using animation characters and storylines.

Microlearning 5 Minutes Cybersecurity DORA All staff

CEO Fraud

Bring "CEO fraud" training to life using animation characters and storylines.

Microlearning 5 Minutes Cybersecurity DORA All staff

Guide to Secure Remote Working

Bring "Guide to Secure Remote Working" training to life using animation characters and storylines.

Microlearning 5 Minutes Cybersecurity DORA All staff

Think Before You Click

Bring "Think before you click" training to life using animation characters and storylines.

Microlearning 5 Minutes Cybersecurity DORA All staff

Bribery Offences and Penalties

Bribery is a serious offence that carries severe consequences for individuals and companies.

Microlearning 5 Minutes Bribery Prevention All staff

Corrupt Hiring Practices

Bribery risks in hiring arise when jobs or internships are offered in exchange for business favours or political influence.

Microlearning 5 Minutes Bribery Prevention All staff

Controllers and Processors

The differences between data controllers and data processors are crucial to understanding data protection obligations.

Microlearning 5 Minutes Data Protection (GDPR) All staff

Special Category Data

In many workplaces, sensitive data, including special category data, is collected and requires extra care.

Microlearning 5 Minutes Data Protection (GDPR) All staff

GDPR Principle 1

The first principle of the GDPR requires that personal data must be processed lawfully, fairly and transparently.

Microlearning 5 Minutes Data Protection (GDPR) All staff

GDPR Principle 2

The second principle of the GDPR, purpose limitation, requires that personal data be collected for specified, explicit and legitimate purposes.

Microlearning 5 Minutes Data Protection (GDPR) All staff

GDPR Principle 3

The third principle of the GDPR, data minimisation, requires that personal data collected must be adequate, relevant and limited to what is necessary.

Microlearning 5 Minutes Data Protection (GDPR) All staff

GDPR Principle 4

The fourth principle of the GDPR, accuracy, requires that personal data must be correct, up to date and not misleading.

Microlearning 5 Minutes Data Protection (GDPR) All staff

GDPR Principle 5

The fifth principle of the GDPR, storage limitation, requires that personal data be retained only for as long as necessary for its intended purpose.

Microlearning 5 Minutes Data Protection (GDPR) All staff

GDPR Principle 6

The sixth principle of the GDPR, integrity and confidentiality, requires that personal data be protected against unauthorised access, loss or damage.

Microlearning 5 Minutes Data Protection (GDPR) All staff

GDPR Principle 7

The seventh principle of the GDPR, accountability, requires organisations to take responsibility for compliance and demonstrate good governance in data protection.

Microlearning 5 Minutes Data Protection (GDPR) All staff

GDPR and Consent

Consent is one of the six lawful bases for processing personal data under the GDPR, requiring individuals to give clear, informed and voluntary agreement.

Microlearning 5 Minutes Data Protection (GDPR) All staff

GDPR Lawful Bases for Processing

The General Data Protection Regulation (GDPR) requires organisations to have a lawful basis for processing personal data, chosen from six legal grounds.

Microlearning 5 Minutes Data Protection (GDPR) All staff

GDPR Legitimate Interests

Legitimate interests is a flexible lawful basis for processing personal data, but it requires balancing business needs with individuals' rights.

Microlearning 5 Minutes Data Protection (GDPR) All staff

GDPR International Transfers

The international transfer of personal data is restricted to ensure individuals' privacy rights are protected when data is sent abroad.

Microlearning 5 Minutes Data Protection (GDPR) All staff

GDPR Individual Rights

The General Data Protection Regulation (GDPR) grants individuals eight specific rights over their personal data, ensuring transparency and control.

Microlearning 5 Minutes Data Protection (GDPR) All staff

GDPR Subject Access Requests

Individuals have the right to access their personal data and organisations must respond to subject access requests (SARs) within legal timeframes.

Microlearning 5 Minutes Data Protection (GDPR) All staff

Cartels

Bring "Cartels" training to life using animation characters and storylines.

Microlearning 5 Minutes All staff

Trade Association Red Flags

Bring "Trade Association Red Flags" training to life using animation characters and storylines.

Microlearning 5 Minutes All staff

Vertical Agreements

Bring "Vertical Agreements" training to life using animation characters and storylines.

Microlearning 5 Minutes All staff

Online Selling Restrictions

Bring "Online Selling Restrictions" training to life using animation characters and storylines.

Microlearning 5 Minutes All staff

Resale Price Maintenance

Bring "Resale Price Maintenance" training to life using animation characters and storylines.

Microlearning 5 Minutes All staff

Tying and Bundling

Bring "Tying and Bundling" training to life using animation characters and storylines.

Microlearning 5 Minutes All staff

Dawn Raids

Bring "Dawn Raids" training to life using animation characters and storylines.

Microlearning 5 Minutes All staff

Abuse of Dominant Position

Bring "Abuse of Dominant Position" training to life using animation characters and storylines.

Microlearning 5 Minutes All staff

Risks in the Use of AI

Bring "Risks in the Use of AI" training to life using animation characters and storylines.

Microlearning 5 Minutes All staff

Stereotyping

Bring "Stereotyping" training to life using animation characters and storylines.

Microlearning 5 Minutes All staff

Understanding ESG

Bring "Understanding ESG" training to life using animation characters and storylines.

Microlearning 5 Minutes ESG All staff

Identifying Who is Vulnerable

Bring "Identifying Who is Vulnerable" training to life using animation characters and storylines.

Microlearning 5 Minutes ESG All staff

Screening Employees in Safeguarding Roles

Bring "Screening Employees in Safeguarding Roles" training to life using animation characters and storylines.

Microlearning 5 Minutes ESG All staff

Terrorist Financing Red Flags

Bring "Terrorist Financing Red Flags" training to life using animation characters and storylines.

Microlearning 5 Minutes Financial Crime All staff

Understanding Terrorist Financing

Bring "Understanding Terrorist Financing" training to life using animation characters and storylines.

Microlearning 5 Minutes Financial Crime All staff

Enhanced Customer Due Diligence

Bring "Enhanced Customer Due Diligence" training to life using animation characters and storylines.

Microlearning 5 Minutes Financial Crime All staff

Politically Exposed Persons

Bring "Politically Exposed Persons" training to life using animation characters and storylines.

Microlearning 5 Minutes Financial Crime All staff

Suspicious Activity Reporting

Bring "Suspicious Activity Reporting" training to life using animation characters and storylines.

Microlearning 5 Minutes Financial Crime All staff

Unexplained Wealth Orders

Bring "Unexplained Wealth Orders" training to life using animation characters and storylines.

Microlearning 5 Minutes Financial Crime All staff

Supplier Fraud

Bring "Supplier Fraud" training to life using animation characters and storylines.

Microlearning 5 Minutes Fraud Prevention All staff

Authorised Push Payment Fraud

Bring "Authorised Push Payment Fraud" training to life using animation characters and storylines.

Microlearning 5 Minutes Fraud Prevention All staff

False Representation

Bring "False Representation" training to life using animation characters and storylines.

Microlearning 5 Minutes Fraud Prevention All staff

Employee Fraud and Insider Threats

Bring "Employee Fraud and Insider Threats" training to life using animation characters and storylines.

Microlearning 5 Minutes Fraud Prevention All staff

Fraud Offences and Penalties

Bring "Fraud Offences and Penalties" training to life using animation characters and storylines.

Microlearning 5 Minutes Fraud Prevention All staff

Mandatory Leave

Bring "Mandatory Leave" training to life using animation characters and storylines.

Microlearning 5 Minutes Fraud Prevention All staff

The Fraud Triangle

Fraud is often committed by ordinary people who find themselves in difficult situations and make poor choices.

Microlearning 5 Minutes Fraud Prevention All staff

10 Essential Office Hygiene Practices

Bring "10 Essential Office Hygiene Practices" training to life using animation characters and storylines.

Microlearning 5 Minutes Health & Safety All staff

10 Steps to Healthy Working

Bring "10 Steps to Healthy Working" training to life using animation characters and storylines.

Microlearning 5 Minutes Health & Safety All staff

Fire

Bring "Fire" training to life using animation characters and storylines.

Microlearning 5 Minutes Health & Safety All staff

Personal Protective Equipment

Bring "Personal Protective Equipment" training to life using animation characters and storylines.

Microlearning 5 Minutes Health & Safety All staff

Transport

Bring "Transport" training to life using animation characters and storylines.

Microlearning 5 Minutes Health & Safety All staff

Work Equipment

Bring "Work Equipment" training to life using animation characters and storylines.

Microlearning 5 Minutes Health & Safety All staff

Menopause Awareness

Bring "Menopause Awareness" training to life using animation characters and storylines.

Microlearning 5 Minutes Health & Safety All staff

Mental Health at Work

Bring "Mental Health at Work" training to life using animation characters and storylines.

Microlearning 5 Minutes Health & Safety All staff

New and Expectant Mothers at Work

Bring "New and Expectant Mothers at Work" training to life using animation characters and storylines.

Microlearning 5 Minutes Health & Safety All staff

Understanding Intellectual Property

Bring "Understanding Intellectual Property" training to life using animation characters and storylines.

Microlearning 5 Minutes All staff

Don't Deal with Inside Information

Bring "Don't Deal with Inside Information" training to life using animation characters and storylines.

Microlearning 5 Minutes All staff

Understanding Inside Information

Bring "Understanding Inside Information" training to life using animation characters and storylines.

Microlearning 5 Minutes All staff

Understanding Market Abuse

Bring "Understanding Market Abuse" training to life using animation characters and storylines.

Microlearning 5 Minutes All staff

Unlawful Disclosure of Inside Information

Bring "Unlawful Disclosure of Inside Information" training to life using animation characters and storylines.

Microlearning 5 Minutes All staff

The Three Characteristics of Harassment

Bring "The Three Characteristics of Harassment" training to life using animation characters and storylines.

Microlearning 5 Minutes All staff

Minimum Disclosure Rules

Bring "Minimum Disclosure Rules" training to life using animation characters and storylines.

Microlearning 5 Minutes All staff

Unwanted Behaviour of a Sexual Nature

Bring "Unwanted Behaviour of a Sexual Nature" training to life using animation characters and storylines.

Microlearning 5 Minutes Preventing Harassment All staff

The 4D Bystander Intervention Model

Bring "The 4D Bystander Intervention Model" training to life using animation characters and storylines.

Microlearning 5 Minutes All staff

Understanding Tax Evasion

Bring "Understanding Tax Evasion" training to life using animation characters and storylines.

Microlearning 5 Minutes All staff

Corrupt Hiring Practices

Diligence in hiring new employees is no longer limited to education, experience and references.

Read more

Express 10 Minutes Bribery Prevention All staff

To Pay or Not To Pay?

Small facilitation payments made to officials for expediting a permit or approval might seem harmless, but they are illegal and could land your employees in prison.

Express 10 Minutes Bribery Prevention All staff

Non-Financial Misconduct

Non-financial misconduct is behaviour that is unrelated to regulated activities, including serious offences such as harassment, bullying, sexual discrimination and sexual misconduct.

Express 15 Minutes All staff

CASS 10 - CASS Resolution Pack

A CASS Resolution Pack (RP) contains a specific set of documents that helps speed up client money and assets return if a firm fails.

In-depth 25 Minutes All staff

CASS 6 - Custody Rules

The rules and guidance in CASS 6 apply to a firm when it is safeguarding and administering custody assets.

In-depth 30 Minutes All staff

CASS 7 and 7A - Client Money Rules and Client Money Distribution and Transfer

The rules and guidance in CASS aim to achieve the FCA's objective of ensuring that consumers are adequately protected.

In-depth 50 Minutes All staff

CASS 8 - Mandates

Under the requirements of CASS 8, you must understand what a mandate is and how to deal with them.

In-depth 30 Minutes All staff

CASS 9 - Information to Clients

Under the requirements of CASS 9, you are required to pass on certain information to clients, particularly where prime brokers, custody assets and client money are concerned.

In-depth 25 Minutes All staff

COBS - Appropriateness

The FCA's Conduct of Business Sourcebook (COBS) applies to financial firms that deal with customer investments on an execution-only basis.

In-depth 20 Minutes All staff

COBS - Client Communications High Risk Investments

The Conduct of Business Sourcebook (COBS) rules that relate to client communication apply to all promotional communications that investment firms have with their clients and prospects.

In-depth 20 Minutes All staff

COBS - Suitability

The FCA Conduct of Business Sourcebook (COBS) applies to finance and investment firms in the UK.

In-depth 20 Minutes All staff

Control of Substances Hazardous to Health (COSHH)

Educate your staff on the risks of using hazardous substances as well as what they should do to prevent accidents and incidents when using them.

In-depth 30 Minutes Health & Safety All staff

Electricity

Educate your staff on the controls your Company has in place and what they should do to stay safe and manage the risks associated with electricity and electrical devices.

In-depth 30 Minutes All staff

Fire Warden Training

Gain a comprehensive understanding of your role as a fire warden, which encompasses not only how to respond effectively in the event of a fire but also proactive measures to prevent such incidents from occurring.

In-depth 30 Minutes Health & Safety All staff

Lone Working

Lone working offers greater flexibility, autonomy and creates a broader talent pool for businesses.

In-depth 25 Minutes Health & Safety All staff

New and Expectant Mothers at Work

Being a new or expectant mother is an exciting time.

In-depth 15 Minutes Health & Safety All staff

Noise

Educate your staff on the controls that your Company has in place and what they should do to prevent exposure to noise at work.

In-depth 25 Minutes Health & Safety All staff

Packaged Retail and Insurance-based Investment Products (PRIIPs) Regulation in Finance

The Packaged Retail and Insurance-based Investment Product (PRIIP) Regulation affects retail investors who need to understand the complexities of these products.

In-depth 30 Minutes All staff

Records Management

Records management involves the process of how employees create, store, archive and dispose of business records.

In-depth 20 Minutes DORA All staff

Responsible Use of Artificial Intelligence

Companies are committed to ensuring the ethical and responsible use of AI technologies.

Read more

In-depth 30 Minutes Cybersecurity All staff

Sustainability Disclosure Requirements (SDR) and Investment Labels

The introduction of sustainability rules aims to enhance the transparency and credibility of financial products with sustainability objectives.

In-depth 30 Minutes All staff

Swap Execution Facilities (SEFs) and Designated Contract Markets (DCMs)

Swap Execution Facilities (SEFs) and Designated Contract Markets (DCMs) exist as part of the US response to the financial crisis.

In-depth 25 Minutes All staff

Understanding Failure to Prevent Fraud (FTPF)

Learn how the Failure to Prevent Fraud offence works, what it means for our Company, and how you can help reduce risk by recognising fraud and supporting prevention procedures.

Read more

In-depth 30 Minutes Failure to Prevent Fraud All staff
Browse the complete SMCR training package