SMCR Training Courses
The Senior Managers and Certification Regime (SMCR) is a key regulation that applies to all banking, insurance and financial services firms since December 2019.
Our library of e-learning courses helps raise awareness and comprehension of the conduct rules. They also ensure a deeper understanding of the practical application of specific rules directly relating to each employee, as required by the FCA.
SMCR 360 is our innovative compliance toolkit which then helps firms implement effective compliance and risk measures to deliver on their obligations under SMCR.
FCA Compliance
SMCR Training Course Library
Our comprehensive SMCR compliance library contains versions of each module tailored to your sector needs. It includes versions for Banking, Building Society, Insurance and Solo-regulated firms (Core, Enhanced, Limited scope).
Introduction to SMCR
This ten-minute express module will give your employees a quick but comprehensive overview of the Senior Managers and Certification Regime and the individual conduct rules.
Versions available:
Senior managers, Other conduct rule staff
SMCR Overview
SMCR has changed how senior managers in financial services are regulated by placing increased emphasis on individual accountability and setting higher standards of personal conduct.
This course helps your employees to understand how the regime impacts on their firm and its senior managers.
Versions available:
Banking, Building Society, Insurance, Solo-regulated (Core, Enhanced, Limited scope)
Conduct Rules for Senior Managers
Under the Senior Managers Regime, all Senior Managers are required to comply with the FCA's five Individual Conduct Rules (ICRs) and four Senior Managers Rules (SMRs).
This course helps your Senior Managers to understand these nine conduct rules, their application and common violations.
Versions available:
Banking, Building Society, Insurance, Solo-regulated (Core, Enhanced, Limited scope)
Conduct Rules for Certified Persons
Under the FCA's Certification Regime, all employees in positions that require certification are required to comply with the set of five Individual Conduct Rules (ICRs) prescribed by the FCA.
This course explains the ICRs, the common violations and how they apply to each function. This course can be customised.
Versions available:
Banking (Corporate finance, Global markets, Retail), Building Society, Insurance, Solo-regulated (Core, Enhanced, Limited scope, Asset management)
Conduct Rules for Non-certified Persons
Although some employees are not covered under the SMCR, they are still required to comply with the FCA's five Individual Conduct Rules (ICRs).
This course helps non-Certified Persons learn about ICRs, their contraventions and their application to practical situations.
Versions available:
Banking, Building Society, Insurance, Solo-regulated
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.
