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 that helps firms implement effective compliance and risk measures to deliver on their obligations under SMCR.
FCA Compliance
SMCR Training Course Library
Introduction to SMCR
The UK's financial services sector has been rocked over the past decade by scandals ranging from miss-selling to market manipulation. This led to the launch of the SMCR.
Our Introduction to SMCR training course will help your employees gain a basic understanding of how these conduct rules affect them and your Company.
SMCR Overview
Our SMCR Overview training course provides your employees with a more thorough understanding of the key steps needed to comply with the conduct rules.
It covers statement of responsibilities, regulator pre-approvals, reasonable steps to stop breaches, the duty of responsibility, plus the identification and assessment of Certified Persons.
About our SMCR Course Library
Our comprehensive SMCR compliance library contains versions of each module tailored to your sector needs.
It includes versions for Banking, Building Societies, Insurance and Solo-regulated firms (Core, Enhanced, Limited scope).
If you'd like to see these courses in more detail, why not sign up for a free trial?
Conduct Rules for Senior Managers
Senior Managers are required to comply with the FCA's five Individual Conduct Rules (ICRs) and four Senior Managers Rules (SMRs). They also need to take 'reasonable steps' to prevent breaches.
This SMCR Conduct Rule course helps your Senior Managers to 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.
This SMCR Conduct Rule course helps your Certified Persons to learn about the five Individual Conduct Rules they must adhere to, their contraventions, and their application in practical situations.
Non-certified Person Conduct Rules
One of the cornerstones of the SMCR is a set of five Individual Conduct Rules (ICRs) that apply to all individuals working in financial services.
This SMCR Conduct Rules course helps Non-certified Persons learn about ICRs, their contraventions and their application to practical situations relevant to their roles.
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.
