Compliance E-Learning: SMCR
Since its introduction, the Senior Managers and Certification Regime (SMCR) has been a key regulation for all banking, insurance, and financial services firms.
Our extensive collection of CPD accredited 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).
SMCR Library
Our SMCR modules cover fit and proper assessments, non-financial misconduct, and the conduct rules applicable to senior managers, certified personnel, conduct rule staff, and non-executive directors.
Introduction to SMCR
The UK's financial services sector was rocked by scandals ranging from miss-selling to market manipulation over the past decade. This led to the launch of the SMCR.
Introduction to SMCR will help your employees gain a basic understanding of how these Conduct Rules affect them and your firm.
SMCR Overview
SMCR Overview provides your employees with a more thorough understanding of the key steps needed to comply with the conduct rules.
Statements of Responsibilities, regulator pre-approvals, reasonable steps to stop breaches and duty of responsibility to identifying and assessing Certified Persons.
Fit & Proper Assessments
In order to perform a Senior Management Function (SMF), Senior Managers need approval from the FCA and, for dual regulated firms, the PRA.
Our SMCR Fit and Proper Assessments Training Course explains how regulators assess fitness and propriety in senior management.
Conduct Rules for Senior Managers
Senior Managers must comply with the FCA's six Individual Conduct Rules (ICRs), four Senior Managers Rules (SMRs) and take 'reasonable steps' to prevent breaches.
Conduct Rules for Senior Managers helps your team learn about these rules, their contraventions and their application in practical situations.
Conduct Rules for Certified Persons
Certified Persons are individuals in roles outside of senior management who could still cause significant harm to a firm or its customers by breaching SMCR rules.
Conduct Rules for Certified Persons explains the six Individual Conduct Rules they must adhere to, their contraventions and their practical application.
Conduct Rules for Conduct Rule Staff
The six Individual Conduct Rules (ICRs) are a cornerstone of SMCR that apply to all individuals working in financial services.
Conduct Rules for Conduct Rule Employees will help your team understand the ICRs, their contraventions and their application to practical situations that are relevant to their roles.
Conduct Rules for Non-Executive Directors (NEDs)
The Conduct Rules set the standard of personal conduct for everyone in financial services. NEDs are subject to higher standards and a higher level of accountability than others in the firm.
Our Conduct Rules for Non-Executive Directors (NEDs) course outlines which conduct rules apply to NEDs.
SMCR & Non-financial Misconduct
The FCA has indicated it is prepared to consider non-financial misconduct when assessing fitness and propriety.
This microlearning course will help your employees identify cases of non-financial misconduct and understand what can be done to promote a healthy conduct culture.
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.
