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SMCR Conduct Rules Training for Senior Managers

Under the Senior Managers Regime, all senior managers must comply with the FCA's five Individual Conduct Rules (ICRs) and four Senior Managers Rules (SMRs).

Senior Managers are expected to comply with all nine Conduct Rules and take 'reasonable steps' to prevent breaches.

Our SMCR Conduct Rules Course helps your Senior Managers to learn about the rules, their contraventions and their application in practical situations.

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SMCR Conduct Rules Training for Senior Managers

About this Course

Available as part of our SMCR Library.

Learning Objectives

This course will help your senior managers to:

  • Understand the three key elements of SMCR:
       - Honesty, integrity and reputation
       - Competence and capability
       - Financial soundness
  • Understand the FCA Conduct Rules that apply to each Senior Manager
  • Comply with Conduct Rules within their allocated responsibilities

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 the Conduct Rules for Senior Managers?

The New Accountability Regime

Fit & Proper Assessment

- Honesty, integrity and reputation
- Competence and capability
- Financial soundness
- Exercise: Assessing fitness and propriety
- Fit and proper: Enforcement

The Conduct Rules

Individual Conduct Rule 1

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

Individual Conduct Rule 2

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

Individual Conduct Rule 3

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

Individual Conduct Rule 4

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

Individual Conduct Rule 5

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

Senior Manager Conduct Rule 1

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

Senior Manager Conduct Rule 2

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

Senior Manager Conduct Rule 3

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

Senior Manager Conduct Rule 4

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

Senior Manager Conduct Rule 5

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

Summary

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 40 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

11-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.