SMCR Non-certified Persons Conduct Rules Training Course

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.

One of the SMCR cornerstones is a set of six Individual Conduct Rules (ICRs) that apply to all individuals working in financial services.

Our SMCR Conduct Rules course helps non-Certified Persons learn about ICRs, their contraventions and their application to practical situations relevant to their roles.

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SMCR Non-certified Persons Conduct Rules Training Course

About this Course

Available as part of our SMCR Course Library.

Learning objectives

This course will help your non-certified employees to:

  • Understand the FCA Conduct Rules that apply to them
  • Comply with the Conduct Rules in their work

Course versions

Versions of this course are available that are tailored to 5 key sectors:

  • Banking
  • Insurance
  • Solo-regulated Core
  • Solo-regulated Enhanced
  • Solo-regulated Limited Scope

Course outline

Introduction

What are Conduct Rules for non-Certified Persons?

The New Accountability Regime

- Do you now: The new regime

The Conduct Rules

Individual Conduct Rule 1

- ICR 1 enforcement
- You make the call: Is it a breach of ICR 1?

Individual Conduct Rule 2

- ICR 2 enforcement
- You make the call: Is it a breach of ICR 2?

Individual Conduct Rule 3

- ICR 3 enforcement
- You make the call: Is it a breach of ICR 3?

Individual Conduct Rule 4

- ICR 4 enforcement
- You make the call: Is it a breach of ICR 4?

Individual Conduct Rule 5

- ICR 5 enforcement
- You make the call: Is it a breach of ICR 5?

Affirmation

Assessment

Course Specifications

Structure

Structure

Approximately 30-minute long e-learning course followed by a 10-question assessment.

Audience

Audience

Suitable for all staff - examples and interactivities designed for staff at all levels. No previous knowledge or experience is required.

Design

Design

SHARD-compliant, responsive display on all devices, accessibility on screen readers, visual design controlled via your client style sheet.

Compatibility

Compatibility

All Windows, Mac OSX, iOS, Android (Flash-free for mobile compatibility). AICC and SCORM 1.2-compliant, suitable for both hosted and deployed SCORM or AICC.

Tailoring

Tailoring

Fully customisable on Skillcast Portal CMS.

Translation

Translation

Pre-translated versions not available, but all text content can be exported for translation into all languages.

Localisation

Localisation

Based on UK legislation, but suitable for global audiences upon the removal of UK-specific references and translation as necessary.

Compliance Essentials

Our comprehensive off-the-shelf compliance solution of 30+ in-depth courses and dozens of microlearning modules helps companies from SMEs to global corporates achieve compliance success.

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