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Non-certified Persons SMCR Conduct Rules Training 

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 five 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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Non-certified Persons SMCR Conduct Rules Training

About this Course

Available as part of our SMCR 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

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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Course Specifications

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Duration

Approximately 30 minutes.

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Audience

Suitable for all staff - examples and interactivities designed for staff at all levels.

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Prerequisites

No previous knowledge or experience required.

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Design

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

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Assessment

Ten-question assessment.

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Test-Out

Ability to offer optional test-out, whereby users can choose to skip the course content and complete the learning assignment simply bypassing the assessment Deployment AICC and SCORM 1.2-compliant, suitable for both hosted and deployed SCORM or AICC.

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Deployment

AICC and SCORM 1.2-compliant, suitable for both hosted and deployed SCORM or AICC.

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Compatibility

All Windows, Mac OSX, iOS, Android (Flash-free for mobile compatibility).

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Tailoring

Fully customisable on Skillcast Portal CMS.

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Translation

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

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Localisation

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