Is our SMCR Compliance library right for you?
Our extensive collection of 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).
You can host the library on our fully managed LMS portal or your existing LMS. If you need to tailor any of the content to better suit your company, you can customise this library by exploring our bespoke training options.
What you'll find in our SMCR library
See what's included in our Senior Managers and CertificationRegime library below. Looking for something specific? Use the search bar to find what you need. If you have any questions, reach out to us and tell us more about your needs - we're happy to help.
SM&CR in Practice
Most SMCR problems are not caused by bad intent. They happen because a responsibility was never formally allocated, a handover note was thin, or oversight of delegated work left no trail. Built as a working reference rather than a one-off tick, it answers the question the FCA asks: how does a firm know its senior population understands what it owns?
Conduct Rules for Senior Managers at Insurance Firms
Conduct Rule breaches are reportable, and the reporting itself creates a supervisory conversation your firm will want to be ready for. Training senior managers properly reduces the number of breaches worth reporting in the first place. It also gives your compliance function a straightforward answer when asked how the leadership population was made aware of its personal obligations.
Conduct Rules for Senior Managers at FCA Solo Firms
Smaller solo-regulated firms often have senior managers wearing several hats, and that is precisely where accountability gets blurred. This course makes the boundaries explicit and shows what taking reasonable steps actually looks like when resources are stretched, which gives your compliance programme a clean, evidenced starting point for the annual fitness and propriety cycle rather than an assertion nobody can support.
Overview of SM&CR for Dual Regulated Firms
Dual regulation means two supervisors with overlapping but distinct expectations, and the SM&CR obligations are correspondingly heavier. Staff who understand how the regime is structured support it far better through the hiring, reference and certification processes that carry the administrative load. That understanding is also what keeps the firm's responsibilities map accurate between formal reviews.
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Conduct Rules for Non-Executive Directors (NEDs)
NEDs are held to a higher standard of accountability precisely because they are expected to challenge. That is difficult to do well without a clear view of what the regulator expects of the role. Including your board and committee members in the compliance programme closes a gap most firms leave open, and it is straightforward evidence of governance quality.
Meeting the Conduct Rules in FCA Solo Regulated Firms
Almost everyone at a solo-regulated firm is subject to the Individual Conduct Rules, including staff who never see a customer. Breaches are reportable to the FCA and follow individuals between employers through regulatory references. Training the whole population is a regulatory requirement in substance as well as good practice, and it gives the firm clean evidence that people were told what applies to them.
Meeting the Conduct Rules in Dual Regulated Firms
Dual-regulated firms answer to both the FCA and the PRA, so the conduct expectations arrive from two directions and the population caught by them is large. Breach reporting obligations apply regardless of seniority. Making the rules understood across the firm reduces reportable breaches and gives your certification and reference processes something solid to rest on.
Fit and Proper Assessments
Fit and proper assessment is an annual obligation for certified staff, not a one-off hurdle at appointment, and the records supporting it are examined during supervisory work. Non-financial misconduct now features explicitly in how the FCA approaches it. Making the criteria clear to the population being assessed produces better disclosure and cleaner certification decisions.
Non-Financial Misconduct
The FCA has made clear it will consider non-financial misconduct when assessing fitness and propriety, which turns behaviour previously treated as an HR matter into a regulatory one that can end a career in financial services. Firms are also expected to report it. Making that connection explicit changes how seriously the population treats conduct that would otherwise stay informal.
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Introduction to the Senior Managers and Certification Regime (SM&CR)
Most people at a regulated firm are affected by at least one part of the regime without ever having it explained to them. That gap shows up in reference requests, certification cycles and breach reporting. A short introduction across the whole population gives everything else in your SM&CR programme something to attach to.
Tap into purpose-designed software to match your compliance efforts
The Skillcast Portal offers a complete platform to handle your e-learning and policy management, staff disclosures, compliance registers, and more. Available in three plans - Standard, Enhanced and Premium - Skillcast Portal elevates the way you deliver compliance training, with all plans including our five-star managed service and security as standard.
