SMCR Best Practice Scenario Tests

Duration: 12 Scenarios | Format: Editable PPT / PDF

Financial services regulatory compliance is complex, especially for those falling under the SMCR.

By using practical examples that reflect real-world SMCR dilemmas, you can ensure that staff know how to apply what they have learned in training. 

We have created a series of scenarios to test that learners know how to apply what they have learned when faced with dilemmas that could happen in the workplace.

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SMCR Best Practice Scenario Tests

How this training helps...

Our SMCR Scenario Tests present real-life situations to help ensure that your team understand best practices.

Scenarios include:

1. Prescribed Responsibilities 7. Conduct Rule Breach Reporting
2. Disclosures within Recruitment 8. Material Risk Taker
3. Reporting Lines 9. Fit & Proper
4. Learning & Development 10. Reasonable Steps - Oversight
5. Assessing the Most Senior Manager 11. Handoffs Between SMFs
6. Handover Between SMFs 12. Regulatory References


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