SMCR Compliance E-learning Courses for Financial Services

Build confidence in your Senior Managers and Certification Regime (SMCR) compliance with our specific courses to support your needs. Browse our course library below to see how we can help.

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About the Senior Managers and Certification Regime (SMCR)

Since its introduction, the Senior Managers and Certification Regime (SMCR) has been a key regulation for all banking, insurance, and financial services firms

There are three key parts to the SMCR: Senior Managers Regime, Certification Regime and Conduct Rules.

Senior Managers Regime

This enforces a detailed and clear allocation of responsibilities between Senior Managers at each firm, with particular emphasis placed on key documents; 'Statements of Responsibilities' and 'Responsibilities Maps'. These help to record the distribution of responsibility to individual Senior Managers and demonstrate to the regulators that there are no gaps or excessive overlaps.

Always bear in mind that Senior Managers have a statutory duty of responsibility "to take reasonable steps to prevent regulatory breaches in the areas of the firm for which they are responsible".

Certification Regime

This requires firms to check and confirm that employees performing roles relating to the firm's regulated activities are fit and proper based on their qualifications, competence and personal characteristics.

Once this has been confirmed, the firm needs to issue the employees with a certificate that must be renewed every year.

Conduct Rules

These consist of a set of rules provided in the FCA's Code of Conduct Handbook (COCON) that covers all individuals: Senior Managers, Certified Persons and other employees.

Is our SMCR Compliance library right for you?

Our extensive collection of 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).

You can host the library on our fully managed LMS portal or your existing LMS. If you need to tailor any of the content to better suit your company, you can customise this library by exploring our bespoke training options.

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What you'll find in our SMCR library

See what's included in our Senior Managers and CertificationRegime library below. Looking for something specific? Use the search bar to find what you need. If you have any questions, reach out to us and tell us more about your needs - we're happy to help.

SM&CR in Practice

In-depth 75 Minutes UK For managers

Senior Managers and Certification Regime (SM&CR) compliance training course. Learn about conduct rules, regulatory interviews, fit and proper tests, and more.

Conduct Rules for Senior Managers at Insurance Firms

In-depth 60 Minutes UK For managers

Conduct rules for senior managers at insurance firms compliance training course, outlining regulatory reporting obligations and the role of integrity.

Conduct Rules for Senior Managers at FCA Solo Firms

In-depth 60 Minutes UK For managers

Conduct rules for senior managers at FCA solo firms compliance course, including why senior manager responsibilities & accountability are so important.

Overview of SM&CR for Dual Regulated Firms

In-depth 30 Minutes UK For all staff

Two regulators, one accountability regime. Understand Statements of Responsibilities, approval requirements and what reasonable steps look like.

Conduct Rules for Non-Executive Directors (NEDs)

In-depth 30 Minutes UK For managers

Independence does not remove accountability. How SM&CR applies to non-executive directors and when a NED ends up holding a Senior Manager Function.

Meeting the Conduct Rules in FCA Solo Regulated Firms

In-depth 25 Minutes UK For all staff

Conduct Rules apply to almost everyone in a solo-regulated firm. Know the standards, who they cover and what complying looks like in your role.

Meeting the Conduct Rules in Dual Regulated Firms

In-depth 25 Minutes UK For all staff

Personal accountability is the point of the Conduct Rules. Staff at dual-regulated firms learn the standards and how to meet them day to day.

Fit and Proper Assessments

Express 20 Minutes UK For all staff

Fitness is assessed continuously, not just at approval. Honesty and integrity, competence and financial soundness, and how each is evidenced.

Non-Financial Misconduct

Express 15 Minutes UK For all staff

The FCA now treats harassment and bullying as regulatory matters. What counts as non-financial misconduct and the action expected of you.

Introduction to the Senior Managers and Certification Regime (SMCR)

Express 10 Minutes UK For all staff

Accountability became personal for a reason. The three parts of SMCR and what the regime asks of your firm, in ten minutes.

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