The Senior Managers and Certification Regime (SM&CR) has changed how senior managers in financial services are regulated by placing increased emphasis on individual accountability and setting higher standards of personal conduct. Find out how this regulatory regime impacts our firm and our senior managers.
Versions available:
Banking, Building Society, Insurance, Solo-regulated (Core, Enhanced, Limited scope)
[Duration: 50 minutes]
Under the Senior Managers Regime, all Senior Managers at our Firm are required to comply with the FCA's five Individual Conduct Rules (ICRs) and four Senior Managers Rules (SMRs).
If you are a Senior Manager, you should do this course to learn about these nine conduct rules, their application and common violations.
Versions available:
Banking, Building Society, Insurance, Solo-regulated (Core, Enhanced, Limited scope)
[Duration: 40 min]
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.
If you are a Certified Person or are due to be certified, you should do this course to learn about the ICRs, the common violations and how they apply to your function. Firms can customise this course too.
Versions available:
Banking (Corporate finance, Global markets, Retail), Building Society, Insurance, Solo-regulated (Core, Enhanced, Limited scope, Asset management)
[Duration: 30 min]
Under the Senior Managers and Certification Regime, all Conduct Rules Staff at our Firm, ie practically everyone, are required to comply with the FCA's five Individual Conduct Rules (ICRs).
If you are not a Senior Manager or a Certified Person at the Firm, you should do this course to learn about the ICRs, their application and common violations.
Versions available: Banking, Building Society, Insurance, Solo-regulated
[Duration: 20 min]
FCA - the financial sector regulator in the UK - requires all conduct rules persons to have awareness and broad understanding of all of the conduct rules.
This ten-minute express module will give you a quick but comprehensive overview of the Senior Managers and Certification Regime and the conduct rules.
Versions available:
Senior managers, Other conduct rule staff
[Duration: 10 min]
