Why RQC Group for your training?

Our industry-leading CPD-certified e-Learning courses have been created by our experienced senior consultants who are at the coalface of developments in the financial services industry, ensuring top quality, current and relevant content, delivered in an engaging and entertaining way.

Over 4,700 financial services professionals have completed our e-Learning courses.

SMCR for Senior Managers
(Core Firms)

This course details the requirements of SMCR as it applies to Senior Managers, including the Senior Managers Regime, the Certification Regime and the Conduct Rules. It will give any Senior Manager the tools they need to understand their obligations and personal liability.

Learning outcomes
On completion of this course, you will:
• Have a sound understanding of the SMCR regime as it relates to Senior Managers
• Understand the internal framework and your responsibilities as a Senior Manager
• Have a sound understanding of the Fit and Proper requirements of a Senior Manager
• Understand how Conduct Rules apply to Senior Managers and all other staff
• Understand the SMCR-related FCA notifications that relate to Senior Managers
• Understand how the Certification Regime relates to your subordinate staff
• Achieve 0.75 CPD points

In addition to Senior Managers this course is also suitable for:
• Individuals reporting to Senior Managers
• Project managers and administrators

This course can be applied as both an ‘introductory’ course and a ‘refresher’ course.

-+

SMCR Conduct Rules
(Core Firms)

This course provides a focussed overview of the Individual Conduct Rules for which annual training is required, for individuals working at Core Firms who are subject to SMCR, but are neither Senior Managers nor subject to the Certification Regime.

Learning outcomes
On completion of this course, you will:
• Understand the aim of SMCR
• Attain a high-level understanding of the three areas of SMCR: Senior Managers Regime, Certification Regime and Conduct Rules
• Have a sound understanding of the Conduct Rules and how they apply to you
• Understand the risks of contravening the Conduct Rules
• Achieve 0.5 CPD points

This course can be applied as both an ‘introductory’ course and a ‘refresher’ course.

-+

Anti-Money Laundering
for UK Investment Firms

This course provides a sound knowledge and awareness of money laundering and terrorist financing.

Learning outcomes
On completion of this course, you will:
• Understand what money laundering is and how to prevent it
• Understand what terrorist financing is and how to prevent it
• Understand the AML framework obligations of FCA-regulated investment firms
• Understand customer due diligence and ongoing monitoring
• Understand how to report suspicious behaviour
• Understand your personal liability and the associated risks
• Achieve 1 CPD point

This course is suitable for anyone that works at a FCA-regulated Investment Firm. It can be used as both an induction course for new staff members, and a refresher course for existing staff members.

-+

Market Abuse
for UK Investment Firms

This course provides a sound knowledge and awareness of money laundering and terrorist financing, how to avoid their pitfalls and the consequences of transgression.

Learning outcomes
On completion of this course, you will:
• Understand what market abuse is
• Understand the civil regime and associated offenses
• Have a sound understanding of the three types of civil market abuse - insider dealing, unlawful disclosure of inside information and market manipulation
• Have a sound understanding of the UK criminal market abuse framework
• Understand an investment firm’s typical response to market abuse
• Understand the FCAs approach and response to market abuse
• Achieve 1 CPD point

This course is suitable for anyone that works for a FCA-regulated Investment Firm. It can be used as both an induction course, for example for new staff members, and a refresher course.

-+

Introductory Cyber Security
for UK Financial Institutions

This 45-minute course is suitable for Senior Executives, Non-Executive Directors and broader staff requiring an overview of Cyber Security terminology and good preventative practices to apply in order to avoid the substantive risks associated with Cyber Security breaches in both your personal and your professional environments.

Learning outcomes
On completion of this course, you will:
• Understand the key concepts of Cyber Security
• Understand the tools used by cyber criminals to access systems
• Have a sound understanding of the different types of cyber crimes
• Understand how to detect and avoid cyber attacks
• Achieve 0.75 CPD points

This course is suitable for anyone working in the UK Financial Services Industry requiring an all-encompassing understanding of Cyber Security.

-+

Comprehensive Cyber Security
for UK Financial Institutions

More time-efficient than classroom learning and able to be completed in multiple-sittings, this 90-minute course is suitable as introductory or refresher training for all employees. It will provide you with comprehensive knowledge of Cyber Security terminology and good preventative practices to apply in order to avoid the substantive risks associated with Cyber Security breaches in both your personal and your professional environments, including tangible examples of how these risk can play out, and their potentially devastating effects.

Learning outcomes
On completion of this course, you will:
• Understand the key concepts of Cyber Security
• Understand the tools used by cyber criminals to access systems
• Have a sound understanding of the different types of cyber crimes
• Tangibly experience cyber security susceptibility
• Understand how to detect and avoid cyber attacks
• Achieve 1.5 CPD points

This course is suitable for anyone working in the UK Financial Services Industry requiring an all-encompassing understanding of Cyber Security.

-+

SMCR Overview

This course is designed to provide a summary of the SMCR requirements as they apply to a ‘Core Firm’. It reviews the key concepts with a view to ensuring that your firm has a sound understanding of SMCR.

This course is suitable for anyone that is seeking to enhance their understanding of how SMCR applies from the firm’s perspective, including:
• Senior Managers
• Project managers and administrators
• Individuals performing a compliance, risk or audit function
• Human resources professionals

Learning outcomes
On completion of this course, you will:
• Have a sound understanding of the SMCR regime, as it relates to a Core Firm
• Understand the three key components of SMCR: Senior Managers Regime; Certification Regime; and the Conduct Rules
• Achieve 0.75 CPD points

This course can be applied as both an ‘introductory’ course and a ‘refresher’ course.

-+

SMCR for Senior Managers
(Core Firms)

This course details the requirements of SMCR as it applies to Senior Managers, including the Senior Managers Regime, the Certification Regime and the Conduct Rules. It will give any Senior Manager the tools they need to understand their obligations and personal liability.

Learning outcomes
On completion of this course, you will:
• Have a sound understanding of the SMCR regime as it relates to Senior Managers
• Understand the internal framework and your responsibilities as a Senior Manager
• Have a sound understanding of the Fit and Proper requirements of a Senior Manager
• Understand how Conduct Rules apply to Senior Managers and all other staff
• Understand the SMCR-related FCA notifications that relate to Senior Managers
• Understand how the Certification Regime relates to your subordinate staff
• Achieve 0.75 CPD points

In addition to Senior Managers this course is also suitable for:
• Individuals reporting to Senior Managers
• Project managers and administrators

This course can be applied as both an ‘introductory’ course and a ‘refresher’ course.

-+

SMCR for Certified Staff

This course sets out the aspects of SMCR that are applicable to individuals undertaking Certification Functions, including the Certification Regime and the Conduct Rules. This course is suitable for:
• Individuals undertaking Certification Functions
• Senior Managers who supervise Certified Employees
• Project managers and administrators

Learning outcomes
On completion of this course, you will:
• Understand how SMCR applies to a Certified Person
• Have a sound understanding of the Certification Regime and your responsibilities as a Certified Person
• Have a sound understanding of the Fit and Proper requirements of a Certified Person
• Understand how Conduct Rules apply to a Certified Person
• Understand the risks of contravening the SMCR regime as a Certified Person
• Achieve 0.75 CPD points

This course can be applied as both an ‘introductory’ course and a ‘refresher’ course.

-+

SMCR Conduct Rules
(Core Firms)

This course provides a focussed overview of the Individual Conduct Rules for which annual training is required, for individuals working at Core Firms who are subject to SMCR, but are neither Senior Managers nor subject to the Certification Regime.

Learning outcomes
On completion of this course, you will:
• Understand the aim of SMCR
• Attain a high-level understanding of the three areas of SMCR: Senior Managers Regime, Certification Regime and Conduct Rules
• Have a sound understanding of the Conduct Rules and how they apply to you
• Understand the risks of contravening the Conduct Rules
• Achieve 0.5 CPD points

This course can be applied as both an ‘introductory’ course and a ‘refresher’ course.

-+

Anti-Money Laundering
for UK Investment Firms

This course provides a sound knowledge and awareness of money laundering and terrorist financing.

Learning outcomes
On completion of this course, you will:
• Understand what money laundering is and how to prevent it
• Understand what terrorist financing is and how to prevent it
• Understand the AML framework obligations of FCA-regulated investment firms
• Understand customer due diligence and ongoing monitoring
• Understand how to report suspicious behaviour
• Understand your personal liability and the associated risks
• Achieve 1 CPD point

This course is suitable for anyone that works at a FCA-regulated Investment Firm. It can be used as both an induction course for new staff members, and a refresher course for existing staff members.

-+

Market Abuse
for UK Investment Firms

This course provides a sound knowledge and awareness of money laundering and terrorist financing, how to avoid their pitfalls and the consequences of transgression.

Learning outcomes
On completion of this course, you will:
• Understand what market abuse is
• Understand the civil regime and associated offenses
• Have a sound understanding of the three types of civil market abuse - insider dealing, unlawful disclosure of inside information and market manipulation
• Have a sound understanding of the UK criminal market abuse framework
• Understand an investment firm’s typical response to market abuse
• Understand the FCAs approach and response to market abuse
• Achieve 1 CPD point

This course is suitable for anyone that works for a FCA-regulated Investment Firm. It can be used as both an induction course, for example for new staff members, and a refresher course.

-+

Anti-Bribery
for UK Investment Firms

This course is for staff members at an FCA-regulated investment firm and aims to provide you with a sound understanding of bribery and corruption, and steps taken to combat this.

Learning outcomes
On completion of this course, you will:
• Understand the concepts of bribery and corruption
• Identify the framework in place to manage and mitigate bribery and corruption risks
• Understand how this framework applies to your firm
• Understand how this framework applies to your role and responsibilities

-+

Introductory Cyber Security
for UK Financial Institutions

This 45-minute course is suitable for Senior Executives, Non-Executive Directors and broader staff requiring an overview of Cyber Security terminology and good preventative practices to apply in order to avoid the substantive risks associated with Cyber Security breaches in both your personal and your professional environments.

Learning outcomes
On completion of this course, you will:
• Understand the key concepts of Cyber Security
• Understand the tools used by cyber criminals to access systems
• Have a sound understanding of the different types of cyber crimes
• Understand how to detect and avoid cyber attacks
• Achieve 0.75 CPD points

This course is suitable for anyone working in the UK Financial Services Industry requiring an all-encompassing understanding of Cyber Security.

-+

Comprehensive Cyber Security
for UK Financial Institutions

More time-efficient than classroom learning and able to be completed in multiple-sittings, this 90-minute course is suitable as introductory or refresher training for all employees. It will provide you with comprehensive knowledge of Cyber Security terminology and good preventative practices to apply in order to avoid the substantive risks associated with Cyber Security breaches in both your personal and your professional environments, including tangible examples of how these risk can play out, and their potentially devastating effects.

Learning outcomes
On completion of this course, you will:
• Understand the key concepts of Cyber Security
• Understand the tools used by cyber criminals to access systems
• Have a sound understanding of the different types of cyber crimes
• Tangibly experience cyber security susceptibility
• Understand how to detect and avoid cyber attacks
• Achieve 1.5 CPD points

This course is suitable for anyone working in the UK Financial Services Industry requiring an all-encompassing understanding of Cyber Security.

-+

Introductory Cyber Security
for US Financial Institutions

This 45-minute course is suitable for Senior Executives, Non-Executive Directors and broader staff requiring an overview of Cyber Security terminology and good preventative practices to apply in order to avoid the substantive risks associated with Cyber Security breaches in both your personal and your professional environments.

Learning outcomes
On completion of this course, you will:
• Understand the key concepts of Cyber Security
• Understand the tools used by cyber criminals to access systems
• Have a sound understanding of the different types of cyber crimes
• Understand how to detect and avoid cyber attacks

This course is suitable for anyone working in the US Financial Services Industry needing to master the basics of Cyber Security.

-+

Comprehensive Cyber Security
for US Financial Institutions

More time-efficient than classroom learning and able to be completed in multiple-sittings, this 90-minute course is suitable as introductory or refresher training for all employees. It will provide you with comprehensive knowledge of Cyber Security terminology and good preventative practices to apply in order to avoid the substantive risks associated with Cyber Security breaches in both your personal and your professional environments, including tangible examples of how these risk can play out, and their potentially devastating effects.

Learning outcomes
On completion of this course, you will:
• Understand the key concepts of Cyber Security
• Understand the tools used by cyber criminals to access systems
• Have a sound understanding of the different types of cyber crimes
• Tangibly experience cyber security susceptibility
• Understand how to detect and avoid cyber attacks

This course is suitable for anyone working in the US Financial Services Industry requiring an all-encompassing understanding of Cyber Security.

-+

Introductory Cyber Security Training for All Industries

This 45-minute course is suitable for Senior Executives, Non-Executive Directors and broader staff requiring an overview of Cyber Security terminology and good preventative practices to apply in order to avoid the substantive risks associated with Cyber Security breaches in both your personal and your professional environments, and is broadly relevant to all industries.

Learning outcomes

On completion of this course, you will:
• Understand the key concepts of Cyber Security
• Understand the tools used by cyber criminals to access systems
• Have a sound understanding of the different types of cyber crimes
• Understand how to detect and avoid cyber attacks
• Achieve 0.75 CPD points

This course is globally relevant and suitable for all levels of staff across all industries requiring an all-encompassing understanding of Cyber Security.

-+

FCA Induction
for Investment Firms

This course provides a sound knowledge and awareness of key FCA compliance concepts that relate to both the individual’s employer and to the individual in a personal capacity.

The individual is also given guidance on the appropriate course of action to be taken when encountering compliance issues.

This module is suitable for anyone that starts working for a FCA-regulated Investment Firm, aside from Senior Managers (who should instead take the module ‘Compliance Induction for Senior Managers at Investment Firms’).

Learning outcomes
On completion of this course, you will:
• Understand why Financial Services need to be regulated
• Understand the UK Financial Services regulatory framework
• Understand how the FCA functions
• Have a sound understanding of key regulatory themes including: Conduct of business; Conflicts of interest; Senior management arrangements, systems and controls; Resilience; Financial crime; and Conduct and governance
• Understand how the key regulatory themes effect you personally
• Understand how a firm implements the regulatory framework
• Achieve 0.75 CPD points

-+

FCA Induction for Senior Managers at Investment Firms

This course provides a sound knowledge and awareness of key FCA compliance concepts that relate to both the individual’s employer and to the individual as a Senior Manager.

The individual is also given guidance on managing compliance risk, and appropriate courses of action to be taken when encountering compliance issues.

This module is suitable for anyone that starts working in a Senior Manager capacity as classified per the Senior Managers and Certification Regime at a FCA-regulated Investment Firm

Learning outcomes
On completion of this course, you will:
• Understand the relationship between Financial Services and Regulation
• Understand the UK Financial Services regulatory framework specific to Senior Managers
• Understand how the FCA functions
• Have a sound understanding of the FCA Principles and their linkage to Rules
• Have a sound understanding of Culture and Governance specific to Senior Managers
• Have a sound understanding of Conflicts of Interest specific to Senior Managers
• Have a sound understanding of SYSC (Senior Management Arrangements, Systems and Controls Sourcebook)
• Have a sound understanding of Conduct of Business and Resilience
• Understand the financial crime framework and personal liability as a Senior Manager
• Understand how a firm implements the regulatory framework
• Achieve 0.75 CPD points

-+

FCA Refresher
for Investment Firms

This course provides a refresher of key FCA compliance concepts that relate both to the individual‘s employer and to the individual in a personal capacity.

The individual is also given guidance on the appropriate course of action to be taken when encountering compliance issues.

This module is suitable for anyone that works for a FCA-regulated Investment Firm, aside from Senior Managers (who should instead take the module ‘Compliance Refresher for Senior Managers at Investment Firms’.

Learning outcomes
On completion of this course, you will:
• Refresh your knowledge about why Financial Services need to be regulated
• Refresh your knowledge of the UK Financial Services regulatory framework
• Refresh your knowledge of how the FCA functions
• Refresh your knowledge of key regulatory themes including: Conduct of business; Conflicts of interest; Senior management arrangements, systems and controls; Resilience; Financial crime; and Conduct and governance
• Refresh your knowledge of how the key regulatory themes effect you personally
• Refresh your knowledge of how a firm implements the regulatory framework
• Achieve 0.75 CPD points

-+

FCA Refresher for Senior Managers at Investment Firms

This course provides a refresher of key FCA compliance concepts that relate to both the individual’s employer and to the individual as a Senior Manager.

The individual is also given guidance on managing compliance risk, and appropriate courses of action to be taken when encountering compliance issues.

This module is suitable for anyone that works for a FCA-regulated Investment Firm, and is classified as a Senior Manager per the Senior Managers and Certification Regime.

Learning outcomes
On completion of this course, you will:
• Refresh your knowledge of the importance of Regulation
• Refresh your knowledge of the UK Financial Services regulatory framework specific to Senior Managers
• Refresh your knowledge of how the FCA functions
• Refresh your knowledge of the FCA Principles and their linkage to Rules
• Refresh your knowledge of Culture and Governance specific to Senior Managers
• Refresh your knowledge of Conflicts of Interest specific to Senior Managers
• Refresh your knowledge of SYSC (Senior Management Arrangements, Systems and Controls Sourcebook)
• Refresh your knowledge of Conduct of Business and Resilience
• Refresh your knowledge of the financial crime framework and personal liability as a Senior Manager
• Refresh your knowledge of how a firm implements the regulatory framework
• Achieve 0.75 CPD points

-+

SEC Induction for Registered Investment Advisers

This course is designed to provide a sound knowledge and awareness of key SEC compliance concepts that relate to both the individual’s employer and to the individual in a personal capacity.

The individual is also given guidance on the appropriate course of action to be taken when encountering compliance issues.

Throughout the course, the individual is required to check their understanding on the material presented.

This module is suitable for anyone that starts working for an SEC-regulated Investment Firm.

Learning outcomes
On completion of this course, you will:
• Understand why firms are registered with the SEC,
• Appreciate the importance of the firm’s Form ADV as a key public disclosure document
• Refresh your knowledge on the adviser’s fiduciary responsibility to clients
• Have a sound understanding of the Compliance Framework when providing advisory investment services to your clients
• Understand advertising rules and restrictions
• Understand required disclosures to clients and investors
• Understand reporting requirement to the SEC, including all relevant forms
• Understand insider dealing and financial crime framework
• Have a sound understanding of the SEC supervises firms

-+

SEC Refresher for Registered Investment Advisers

This course provides a sound knowledge and awareness of key SEC compliance concepts that relate to both the individual’s employer and to the individual in a personal capacity.

The individual is also given guidance on the appropriate course of action to be taken when encountering compliance issues.

This module is suitable for anyone that is working for an SEC-regulated Investment Firm.

Learning outcomes
On completion of this refresher course, you will:
• Understand why firms are registered with the SEC,
• Appreciate the importance of the firm’s Form ADV as a key public disclosure document
• Refresh your knowledge on the adviser’s fiduciary responsibility to clients
• Have a sound understanding of the Compliance Framework when providing advisory investment services to your clients
• Understand advertising rules and restrictions
• Understand required disclosures to clients and investors
• Understand reporting requirement to the SEC, including all relevant forms
• Understand insider dealing and financial crime framework
• Have a sound understanding of the SEC supervises firms

-+

SMCR Overview

This course is designed to provide a summary of the SMCR requirements for as they apply to a ‘Limited Scope Firm’. It reviews the key concepts with a view to ensuring that your firm has a sound understanding of SMCR.

Learning outcomes
On completion of this course, you will:
• Understand the SMCR regime, as it relates to a Limited Scope Firm
• Understand the three key components of SMCR: Senior Managers Regime; Certification Regime; and the Conduct Rules
• Achieve 0.75 CPD points


This course can be applied as both an ‘introductory’ course and a ‘refresher’ course.

-+

SMCR For Senior Managers

This course details the requirements of SMCR as it applies to Senior Managers, including the Senior Managers Regime, the Certification Regime and the Conduct Rules. It will give any Senior Manager the tools they need to understand their obligations and personal liability.

Learning outcomes
On completion of this course, you will:
• Understand the SMCR regime as it relates to Senior Managers
• Understand the internal framework and your responsibilities as a Senior Manager
• Have a sound understanding of the Fit and Proper requirements of a Senior Manager
• Understand how Conduct Rules apply to Senior Managers and all other staff
• Understand the SMCR-related FCA notifications that relate to Senior Managers
• Understand how the Certification Regime relates to your subordinate staff
• Achieve 0.75 CPD points

In addition to Senior Managers this course is also suitable for:
• Individuals reporting to Senior Managers
• Project managers and administrators

This course can be applied as both an ‘introductory’ course and a ‘refresher’ course.

-+

SMCR for Certified Staff

This course sets out the aspects of SMCR that are applicable to individuals undertaking Certification Functions, including the Certification Regime and the Conduct Rules. This course is suitable for:
• Individuals undertaking Certification Functions
• Senior Managers who supervise Certified Employees
• Project managers and administrators

Learning outcomes
On completion of this course, you will:
• Understand how SMCR applies to a Certified Person
• Have a sound understanding of the Certification Regime and your responsibilities as a Certified Person
• Have a sound understanding of the Fit and Proper requirements of a Certified Person
• Understand how Conduct Rules apply to a Certified Person
• Understand the risks of contravening the SMCR regime as a Certified Person
• Achieve 0.75 CPD points

This course can be applied as both an ‘introductory’ course and a ‘refresher’ course.

-+

SMCR Conduct Rules

This course provides a focussed overview of the Individual Conduct Rules for which annual training is required, for individuals working at Limited Scope Firms who are subject to SMCR, but are neither Senior Managers nor subject to the Certification Regime.

Learning outcomes
On completion of this course, you will:
• Understand the aims of SMCR
• Attain a high-level understanding of the three areas of SMCR: Senior Managers Regime, Certification Regime and Conduct Rules
• Have a sound understanding of the Conduct Rules and how they apply to you
• Understand the risks of contravening the Conduct Rules
• Achieve 0.5 CPD points

This course can be applied as both an ‘introductory’ course and a ‘refresher’ course.

-+

SMCR Overview

This course is designed to provide a summary of the SMCR requirements as they apply to an ‘Enhanced Firm’. It reviews the key concepts with a view to ensuring that your firm has a sound understanding of SMCR.

This course is suitable for anyone that is seeking to enhance their understanding of how SMCR applies from the firm’s perspective, including:
• Senior Managers
• Project managers and administrators
• Individuals performing a compliance, risk or audit function
• Human resources professionals

Learning outcomes
On completion of this course, you will:
• Have a sound understanding of the SMCR regime, as it relates to an Enhanced Firm
• Understand the three key components of SMCR: Senior Managers Regime; Certification Regime; and the Conduct Rules
• Achieve 0.75 CPD points

This course can be applied as both an ‘introductory’ course and a ‘refresher’ course.

-+

SMCR for Senior Managers

This course details the requirements of SMCR as it applies to Senior Managers, including the Senior Managers Regime, the Certification Regime and the Conduct Rules. It will give any Senior Manager the tools they need to understand their obligations and personal liability.

Learning outcomes
On completion of this course, you will:
• Have a sound understanding of the SMCR regime as it relates to Senior Managers
• Understand the internal framework and your responsibilities as a Senior Manager
• Have a sound understanding of the Fit and Proper requirements of a Senior Manager
• Understand how Conduct Rules apply to Senior Managers and all other staff
• Understand the SMCR-related FCA notifications that relate to Senior Managers
• Understand how the Certification Regime relates to your subordinate staff
• Achieve 0.75 CPD points

In addition to Senior Managers this course is suitable for:
• Individuals reporting to Senior Managers
• Project managers and administrators

This course can be applied as both an ‘introductory’ course and a ‘refresher’ course.

-+

SMCR For Certified Staff

This course sets out the aspects of SMCR that are applicable to individuals undertaking Certification Functions, including the Certification Regime and the Conduct Rule. This course is suitable for:
• Individuals undertaking Certification Functions
• Senior Managers who supervise Certified Employees
• Project managers and administrators

Learning outcomes
On completion of this course, you will:
• Understand how SMCR applies to a Certified Person
• Have a sound understanding of the Certification Regime and your responsibilities as a Certified Person
• Have a sound understanding of the Fit and Proper requirements of a Certified Person
• Understand how Conduct Rules apply to a Certified Person
• Understand the risks of contravening the SMCR regime as a Certified Person
• Achieve 0.75 CPD points

This course can be applied as both an ‘introductory’ course and a ‘refresher’ course.

-+

SMCR Conduct Rules

This course provides a focussed overview of the Individual Conduct Rules for which annual training is required, for individuals working at Enhanced Firms who are subject to SMCR, but are neither Senior Managers nor subject to the Certification Regime.

Learning outcomes
On completion of this course, you will:
• Understand the aim of SMCR
• Attain a high-level understanding of the three areas of SMCR: Senior Managers Regime, Certification Regime and Conduct Rules
• Have a sound understanding of the Conduct Rules and how they apply to you
• Understand the risks of contravening the Conduct Rules
• Achieve 0.5 CPD points

This course can be applied as both an ‘introductory’ course and a ‘refresher’ course.

-+

SMCR Overview

This course is designed to provide a summary of the SMCR requirements as they apply to a Bank or a Building Society that is incorporated in the United Kingdom. It reviews the key concepts with a view to ensuring that your firm has a sound understanding of SMCR.

This course is suitable for anyone that is seeking to enhance their understanding of how SMCR applies from the firm’s perspective, including:
• Senior Managers
• Project managers and administrators
• Individuals performing a compliance, risk or audit function
• Human resources professionals

Learning outcomes
On completion of this course, you will:
• Have a sound understanding of the SMCR regime as it relates to UK Banks and Building Societies
• Understand the three key components of SMCR: Senior Managers Regime; Certification Regime; and the Conduct Rules
• Achieve 0.75 CPD points

This course can be applied as both an ‘introductory’ course and a ‘refresher’ course.

-+

SMCR for Senior Managers

This course details the requirements of SMCR as it applies to Senior Managers at UK incorporated Banks and Building Societies, including the Senior Managers Regime, the Certification Regime and the Conduct Rules. It will give any Senior Manager the tools they need to understand their obligations and personal liability.

In addition to Senior Managers this course is suitable for:
• Individuals reporting to Senior Managers
• Project managers and administrators

Learning outcomes
On completion of this course, you will:
• Have a sound understanding of the SMCR regime as it relates to Senior Managers at UK Banks and Building Societies
• Understand the internal framework and your responsibilities as a Senior Manager Managers at a UK Bank or Building Society
• Have a sound understanding of the Fit and Proper requirements of a Senior Manager at a UK Bank or Building Society
• Understand how Conduct Rules apply to Senior Managers and all other staff at a UK Bank or Building Society
• Understand the SMCR-related FCA notifications that relate to Senior Managers at a UK Bank or Building Society
• Understand how the Certification Regime relates to your subordinate staff at a UK Bank or Building Society
• Achieve 0.75 CPD points

This course can be applied as both an ‘introductory’ course and a ‘refresher’ course.

-+

SMCR For Certified Staff

This course sets out the aspects of SMCR that are applicable to individuals undertaking Certification Functions at UK incorporated Banks and Building Societies, including the Certification Regime and the Conduct Rule. This course is suitable for:
• Individuals undertaking Certification Functions
• Senior Managers who supervise Certified Employees
• Project managers and administrators

Learning outcomes

On completion of this course, you will:
• Understand how SMCR applies to a Certified Person
• Have a sound understanding of the Certification Regime and your responsibilities as a Certified Person
• Have a sound understanding of the Fit and Proper requirements of a Certified Person
• Understand how Conduct Rules apply to a Certified Person
• Understand the risks of contravening the SMCR regime as a Certified Person
• Achieve 0.75 CPD points

This course can be applied as both an ‘introductory’ course and a ‘refresher’ course.

-+

SMCR Conduct Rules

This course provides a focussed overview of the Individual Conduct Rules for which annual training is required, for individuals working at a UK incorporated Bank or Building Society who are subject to SMCR, but are neither Senior Managers nor subject to the Certification Regime.

Learning outcomes
On completion of this course, you will:
• Understand the aim of SMCR in relation to staff at UK Banks and Building Societies
• Attain a high-level understanding of the three areas of SMCR: Senior Managers Regime, Certification Regime and Conduct Rules
• Have a sound understanding of the Conduct Rules and how these apply to you
• Understand the risks of contravening the Conduct Rules
• Achieve 0.5 CPD points

This course can be applied as both an ‘introductory’ course and a ‘refresher’ course.

-+

SMCR Overview

This course is designed to provide a summary of the SMCR requirements as they apply to a UK authorised Credit Union. It reviews the key concepts with a view to ensuring that your firm has a sound understanding of SMCR.

This course is suitable for anyone that is seeking to enhance their understanding of how SMCR applies from the firm’s perspective, including:
• Senior Managers
• Project managers and administrators
• Individuals performing a compliance, risk or audit function
• Human resources professionals

Learning outcomes
On completion of this course, you will:
• Have a sound understanding of the SMCR regime as it relates to Credit Unions
• Understand the three key components of SMCR: Senior Managers Regime; Certification Regime; and the Conduct Rules
• Achieve 0.75 CPD points

This course can be applied as both an ‘introductory’ course and a ‘refresher’ course.

-+

SMCR for Senior Managers

This course details the requirements of SMCR as it applies to Senior Managers at Credit Unions in the UK, including the Senior Managers Regime, the Certification Regime and the Conduct Rules. It will give any Senior Manager the tools they need to understand their obligations and personal liability.

In addition to Senior Managers this course is suitable for:
• Individuals reporting to Senior Managers
• Project managers and administrators

Learning outcomes
On completion of this course, you will:
• Have a sound understanding of the SMCR regime as it relates to Senior Managers at Credit Unions
• Understand the internal framework and your responsibilities as a Senior Manager Managers at a Credit Union
• Have a sound understanding of the Fit and Proper requirements of a Senior Manager at a Credit Union
• Understand how Conduct Rules apply to Senior Managers and all other staff at a Credit Union
• Understand the SMCR-related FCA notifications that relate to Senior Managers at a Credit Union
• Understand how the Certification Regime relates to your subordinate staff at a Credit Union
• Achieve 0.75 CPD points

This course can be applied as both an ‘introductory’ course and a ‘refresher’ course.

-+

SMCR For Certified Staff

This course sets out the aspects of SMCR that are applicable to individuals undertaking Certification Functions at Credit Unions in the UK, including the Certification Regime and the Conduct Rule.

This course is suitable for:
• Individuals undertaking Certification Functions
• Senior Managers who supervise Certified Employees
• Project managers and administrators

Learning outcomes
On completion of this course, you will:
• Understand how SMCR applies to a Certified Person at a Credit Union
• Have a sound understanding of the Certification Regime and your responsibilities as a Certified Person at a Credit Union
• Have a sound understanding of the Fit and Proper requirements of a Certified Person at a Credit Union
• Understand how Conduct Rules apply to a Certified Person at a Credit Union
• Understand the risks of contravening the SMCR regime as a Certified Person at a Credit Union
• Achieve 0.75 CPD points

This course can be applied as both an ‘introductory’ course and a ‘refresher’ course.

-+

SMCR Conduct Rules

This course provides a focussed overview of the Individual Conduct Rules for which annual training is required, for individuals working at UK Credit Unions who are subject to SMCR, but are neither Senior Managers nor subject to the Certification Regime.

Learning outcomes
On completion of this course, you will:
• Understand the aim of SMCR in relation to staff at Credit Unions
• Understand the three key components of SMCR: Senior Managers Regime; Certification Regime; and the Conduct Rules
• Have a sound understanding of the Conduct Rules and how these apply to you
• Understand the risks of contravening the Conduct Rules
• Achieve 0.5 CPD points

This course can be applied as both an ‘introductory’ course and a ‘refresher’ course.

-+

SMCR Overview

This course is designed to provide a summary of the SMCR requirements as they apply to Banks incorporated in the EEA that are entitled to accept deposits through a branch in the UK. It reviews the key concepts with a view to ensuring that your firm has a sound understanding of SMCR.

This course is suitable for anyone that is seeking to enhance their understanding of how SMCR applies from the firm’s perspective, including:
• Senior Managers
• Project managers and administrators
• Individuals performing a compliance, risk or audit function
• Human resources professionals

Learning outcomes
On completion of this course, you will:
• Have a sound understanding of the SMCR regime as it relates to UK Branches of EEA Banks
• Understand the three key components of SMCR: Senior Managers Regime; Certification Regime; and the Conduct Rules
• Achieve 0.75 CPD points

This course can be applied as both an ‘introductory’ course and a ‘refresher’ course.

-+

SMCR for Senior Managers

This course details the requirements of SMCR as it applies to Senior Managers at UK branches of EEA Banks, including the Senior Managers Regime, the Certification Regime and the Conduct Rules. It will give any Senior Manager the tools they need to understand their obligations and personal liability.

In addition to Senior Managers this course is suitable for:
• Individuals reporting to Senior Managers
• Project managers and administrators

Learning outcomes
On completion of this course, you will:
• Have a sound understanding of the SMCR regime as it relates to Senior Managers at UK Branches of EEA Banks
• Understand the internal framework and your responsibilities as a Senior Manager Managers at a UK Branch of an EEA Bank
• Have a sound understanding of the Fit and Proper requirements of a Senior Manager at a UK Branch of an EEA Bank
• Understand how Conduct Rules apply to Senior Managers and all other staff at a UK Branch of an EEA Bank
• Understand the SMCR-related FCA notifications that relate to Senior Managers at a UK Branch of an EEA Bank
• Understand how the Certification Regime relates to your subordinate staff at a UK Branch of an EEA Bank
• Achieve 0.75 CPD points

This course can be applied as both an ‘introductory’ course and a ‘refresher’ course.

-+

SMCR For Certified Staff

This course sets out the aspects of SMCR that are applicable to individuals undertaking Certification Functions at UK branches of EEA Banks, including the Certification Regime and the Conduct Rule.

This course is suitable for:
• Individuals undertaking Certification Functions
• Senior Managers who supervise Certified Employees
• Project managers and administrators

Learning outcomes
On completion of this course, you will:
• Understand how SMCR applies to a Certified Person at a UK Branch of an EEA Bank
• Have a sound understanding of the Certification Regime and your responsibilities as a Certified Person at a UK Branch of an EEA Bank
• Have a sound understanding of the Fit and Proper requirements of a Certified Person at a UK Branch of an EEA Bank
• Understand how Conduct Rules apply to a Certified Person at a UK Branch of an EEA Bank
• Understand the risks of contravening the SMCR regime as a Certified Person at a UK Branch of an EEA Bank
• Achieve 0.75 CPD points

This course can be applied as both an ‘introductory’ course and a ‘refresher’ course.

-+

SMCR Conduct Rules

This course provides a focussed overview of the Individual Conduct Rules for which annual training is required, for individuals working at UK branches of EEA banks who are subject to SMCR, but are neither Senior Managers nor subject to the Certification Regime.

Learning outcomes
On completion of this course, you will:
• Understand the aim of SMCR in relation to staff at UK Branches of EEA Banks
• Attain a high-level understanding of the three areas of SMCR: Senior Managers Regime, Certification Regime and Conduct Rules
• Have a sound understanding of the Conduct Rules and how they apply to you
• Understand the risks of contravening the Conduct Rules
• Achieve 0.5 CPD points

This course can be applied as both an ‘introductory’ course and a ‘refresher’ course.

-+

SMCR Overview

This course is designed to provide a summary of the SMCR requirements as they apply to Banks incorporated outside the EEA that are authorised to accept deposits through a branch in the UK. It reviews the key concepts with a view to ensuring that your firm has a sound understanding of SMCR.

This course is suitable for anyone that is seeking to enhance their understanding of how SMCR applies from the firm’s perspective, including:
• Senior Managers
• Project managers and administrators
• Individuals performing a compliance, risk or audit function
• Human resources professionals

Learning outcomes
On completion of this course, you will:
• Have a sound understanding of the SMCR regime as it relates to UK Branches of non-EEA Banks
• Understand the three key components of SMCR: Senior Managers Regime; Certification Regime; and the Conduct Rules
• Achieve 0.75 CPD points

This course can be applied as both an ‘introductory’ course and a ‘refresher’ course.

-+

SMCR for Senior Managers

This course details the requirements of SMCR as it applies to Senior Managers at UK branches of non-EEA Banks, including the Senior Managers Regime, the Certification Regime and the Conduct Rules. It will give any Senior Manager the tools they need to understand their obligations and personal liability.

In addition to Senior Managers this course is suitable for:
• Individuals reporting to Senior Managers
• Project managers and administrators

Learning outcomes
On completion of this course, you will:
• Have a sound understanding of the SMCR regime as it relates to Senior Managers at UK Branches of non-EEA Banks
• Understand the internal framework and your responsibilities as a Senior Manager Managers at a UK Branch of a non-EEA Bank
• Have a sound understanding of the Fit and Proper requirements of a Senior Manager at a UK Branch of a non-EEA Bank
• Understand how Conduct Rules apply to Senior Managers and all other staff at a UK Branch of a non-EEA Bank
• Understand the SMCR-related FCA notifications that relate to Senior Managers at a UK Branch of a non-EEA Bank
• Understand how the Certification Regime relates to your subordinate staff at a UK Branch of a non-EEA Bank
• Achieve 0.75 CPD points

This course can be applied as both an ‘introductory’ course and a ‘refresher’ course.

-+

SMCR For Certified Staff

This course sets out the aspects of SMCR that are applicable to individuals undertaking Certification Functions at UK branches of non-EEA Banks, including the Certification Regime and the Conduct Rule.

This course is suitable for:
• Individuals undertaking Certification Functions
• Senior Managers who supervise Certified Employees
• Project managers and administrators

Learning outcomes
On completion of this course, you will:
• Understand how SMCR applies to a Certified Person at a UK Branch of a non-EEA Bank
• Have a sound understanding of the Certification Regime and your responsibilities as a Certified Person at a UK Branch of a non-EEA Bank
• Have a sound understanding of the Fit and Proper requirements of a Certified Person at a UK Branch of a non-EEA Bank
• Understand how Conduct Rules apply to a Certified Person at a UK Branch of a non-EEA Bank
• Understand the risks of contravening the SMCR regime as a Certified Person at a UK Branch of a non-EEA Bank
• Achieve 0.75 CPD points

This course can be applied as both an ‘introductory’ course and a ‘refresher’ course.

-+

SMCR Conduct Rules

This course provides a focussed overview of the Individual Conduct Rules for which annual training is required, for individuals working at UK branches of non-EEA banks who are subject to SMCR, but are neither Senior Managers nor subject to the Certification Regime.

Learning outcomes
On completion of this course, you will:
• Understand the aim of SMCR in relation to staff at UK Branches of non-EEA Banks
• Attain a high-level understanding of the three areas of SMCR: Senior Managers Regime, Certification Regime and Conduct Rules
• Have a sound understanding of the Conduct Rules and how these apply to you
• Understand the risks of contravening the Conduct Rules
• Achieve 0.5 CPD points

This course can be applied as both an ‘introductory’ course and a ‘refresher’ course.

-+

1
45 Minutes 0.75 CPD Points

SMCR for Senior Managers
(Core Firms)

SMCR for Senior Managers
(Core Firms)

This course details the requirements of SMCR as it applies to Senior Managers, including the Senior Managers Regime, the Certification Regime and the Conduct Rules. It will give any Senior Manager the tools they need to understand their obligations and personal liability.

Learning outcomes
On completion of this course, you will:
• Have a sound understanding of the SMCR regime as it relates to Senior Managers
• Understand the internal framework and your responsibilities as a Senior Manager
• Have a sound understanding of the Fit and Proper requirements of a Senior Manager
• Understand how Conduct Rules apply to Senior Managers and all other staff
• Understand the SMCR-related FCA notifications that relate to Senior Managers
• Understand how the Certification Regime relates to your subordinate staff
• Achieve 0.75 CPD points

In addition to Senior Managers this course is also suitable for:
• Individuals reporting to Senior Managers
• Project managers and administrators

This course can be applied as both an ‘introductory’ course and a ‘refresher’ course.
-+
2
30 Minutes 0.5 CPD Points

SMCR Conduct Rules
(Core Firms)

SMCR Conduct Rules
(Core Firms)

This course provides a focussed overview of the Individual Conduct Rules for which annual training is required, for individuals working at Core Firms who are subject to SMCR, but are neither Senior Managers nor subject to the Certification Regime.

Learning outcomes
On completion of this course, you will:
• Understand the aim of SMCR
• Attain a high-level understanding of the three areas of SMCR: Senior Managers Regime, Certification Regime and Conduct Rules
• Have a sound understanding of the Conduct Rules and how they apply to you
• Understand the risks of contravening the Conduct Rules
• Achieve 0.5 CPD points

This course can be applied as both an ‘introductory’ course and a ‘refresher’ course.
-+
3
60 Minutes 1 CPD Point

Anti-Money Laundering
for UK Investment Firms

Anti-Money Laundering
for UK Investment Firms

This course provides a sound knowledge and awareness of money laundering and terrorist financing.

Learning outcomes
On completion of this course, you will:
• Understand what money laundering is and how to prevent it
• Understand what terrorist financing is and how to prevent it
• Understand the AML framework obligations of FCA-regulated investment firms
• Understand customer due diligence and ongoing monitoring
• Understand how to report suspicious behaviour
• Understand your personal liability and the associated risks
• Achieve 1 CPD point

This course is suitable for anyone that works at a FCA-regulated Investment Firm. It can be used as both an induction course for new staff members, and a refresher course for existing staff members.
-+
4
60 Minutes 1 CPD Point

Market Abuse
for UK Investment Firms

Market Abuse
for UK Investment Firms

This course provides a sound knowledge and awareness of money laundering and terrorist financing, how to avoid their pitfalls and the consequences of transgression.

Learning outcomes
On completion of this course, you will:
• Understand what market abuse is
• Understand the civil regime and associated offenses
• Have a sound understanding of the three types of civil market abuse - insider dealing, unlawful disclosure of inside information and market manipulation
• Have a sound understanding of the UK criminal market abuse framework
• Understand an investment firm’s typical response to market abuse
• Understand the FCAs approach and response to market abuse
• Achieve 1 CPD point

This course is suitable for anyone that works for a FCA-regulated Investment Firm. It can be used as both an induction course, for example for new staff members, and a refresher course.
-+
5
45 Minutes 0.75 CPD Points

Introductory Cyber Security
for UK Financial Institutions

Introductory Cyber Security
for UK Financial Institutions

This 45-minute course is suitable for Senior Executives, Non-Executive Directors and broader staff requiring an overview of Cyber Security terminology and good preventative practices to apply in order to avoid the substantive risks associated with Cyber Security breaches in both your personal and your professional environments.

Learning outcomes
On completion of this course, you will:
• Understand the key concepts of Cyber Security
• Understand the tools used by cyber criminals to access systems
• Have a sound understanding of the different types of cyber crimes
• Understand how to detect and avoid cyber attacks
• Achieve 0.75 CPD points

This course is suitable for anyone working in the UK Financial Services Industry requiring an all-encompassing understanding of Cyber Security.
-+
6
90 Minutes 1.5 CPD Points

Comprehensive Cyber Security
for UK Financial Institutions

Comprehensive Cyber Security
for UK Financial Institutions

More time-efficient than classroom learning and able to be completed in multiple-sittings, this 90-minute course is suitable as introductory or refresher training for all employees. It will provide you with comprehensive knowledge of Cyber Security terminology and good preventative practices to apply in order to avoid the substantive risks associated with Cyber Security breaches in both your personal and your professional environments, including tangible examples of how these risk can play out, and their potentially devastating effects.

Learning outcomes
On completion of this course, you will:
• Understand the key concepts of Cyber Security
• Understand the tools used by cyber criminals to access systems
• Have a sound understanding of the different types of cyber crimes
• Tangibly experience cyber security susceptibility
• Understand how to detect and avoid cyber attacks
• Achieve 1.5 CPD points

This course is suitable for anyone working in the UK Financial Services Industry requiring an all-encompassing understanding of Cyber Security.
-+
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SMCR Courses for Core Firms

45 Minutes 0.75 CPD Points

SMCR Overview

SMCR Overview

This course is designed to provide a summary of the SMCR requirements as they apply to a ‘Core Firm’. It reviews the key concepts with a view to ensuring that your firm has a sound understanding of SMCR.

This course is suitable for anyone that is seeking to enhance their understanding of how SMCR applies from the firm’s perspective, including:
• Senior Managers
• Project managers and administrators
• Individuals performing a compliance, risk or audit function
• Human resources professionals

Learning outcomes
On completion of this course, you will:
• Have a sound understanding of the SMCR regime, as it relates to a Core Firm
• Understand the three key components of SMCR: Senior Managers Regime; Certification Regime; and the Conduct Rules
• Achieve 0.75 CPD points

This course can be applied as both an ‘introductory’ course and a ‘refresher’ course.
-+
45 Minutes 0.75 CPD Points

SMCR for Senior Managers
(Core Firms)

SMCR for Senior Managers
(Core Firms)

This course details the requirements of SMCR as it applies to Senior Managers, including the Senior Managers Regime, the Certification Regime and the Conduct Rules. It will give any Senior Manager the tools they need to understand their obligations and personal liability.

Learning outcomes
On completion of this course, you will:
• Have a sound understanding of the SMCR regime as it relates to Senior Managers
• Understand the internal framework and your responsibilities as a Senior Manager
• Have a sound understanding of the Fit and Proper requirements of a Senior Manager
• Understand how Conduct Rules apply to Senior Managers and all other staff
• Understand the SMCR-related FCA notifications that relate to Senior Managers
• Understand how the Certification Regime relates to your subordinate staff
• Achieve 0.75 CPD points

In addition to Senior Managers this course is also suitable for:
• Individuals reporting to Senior Managers
• Project managers and administrators

This course can be applied as both an ‘introductory’ course and a ‘refresher’ course.
-+
45 Minutes 0.75 CPD Points

SMCR for Certified Staff

SMCR for Certified Staff

This course sets out the aspects of SMCR that are applicable to individuals undertaking Certification Functions, including the Certification Regime and the Conduct Rules. This course is suitable for:
• Individuals undertaking Certification Functions
• Senior Managers who supervise Certified Employees
• Project managers and administrators

Learning outcomes
On completion of this course, you will:
• Understand how SMCR applies to a Certified Person
• Have a sound understanding of the Certification Regime and your responsibilities as a Certified Person
• Have a sound understanding of the Fit and Proper requirements of a Certified Person
• Understand how Conduct Rules apply to a Certified Person
• Understand the risks of contravening the SMCR regime as a Certified Person
• Achieve 0.75 CPD points

This course can be applied as both an ‘introductory’ course and a ‘refresher’ course.
-+
30 Minutes 0.5 CPD Points

SMCR Conduct Rules
(Core Firms)

SMCR Conduct Rules
(Core Firms)

This course provides a focussed overview of the Individual Conduct Rules for which annual training is required, for individuals working at Core Firms who are subject to SMCR, but are neither Senior Managers nor subject to the Certification Regime.

Learning outcomes
On completion of this course, you will:
• Understand the aim of SMCR
• Attain a high-level understanding of the three areas of SMCR: Senior Managers Regime, Certification Regime and Conduct Rules
• Have a sound understanding of the Conduct Rules and how they apply to you
• Understand the risks of contravening the Conduct Rules
• Achieve 0.5 CPD points

This course can be applied as both an ‘introductory’ course and a ‘refresher’ course.
-+

SMCR Courses
for other Firm Types

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Financial Crime Courses

60 Minutes 1 CPD Point

Anti-Money Laundering
for UK Investment Firms

Anti-Money Laundering
for UK Investment Firms

This course provides a sound knowledge and awareness of money laundering and terrorist financing.

Learning outcomes
On completion of this course, you will:
• Understand what money laundering is and how to prevent it
• Understand what terrorist financing is and how to prevent it
• Understand the AML framework obligations of FCA-regulated investment firms
• Understand customer due diligence and ongoing monitoring
• Understand how to report suspicious behaviour
• Understand your personal liability and the associated risks
• Achieve 1 CPD point

This course is suitable for anyone that works at a FCA-regulated Investment Firm. It can be used as both an induction course for new staff members, and a refresher course for existing staff members.
-+
60 Minutes 1 CPD Point

Market Abuse
for UK Investment Firms

Market Abuse
for UK Investment Firms

This course provides a sound knowledge and awareness of money laundering and terrorist financing, how to avoid their pitfalls and the consequences of transgression.

Learning outcomes
On completion of this course, you will:
• Understand what market abuse is
• Understand the civil regime and associated offenses
• Have a sound understanding of the three types of civil market abuse - insider dealing, unlawful disclosure of inside information and market manipulation
• Have a sound understanding of the UK criminal market abuse framework
• Understand an investment firm’s typical response to market abuse
• Understand the FCAs approach and response to market abuse
• Achieve 1 CPD point

This course is suitable for anyone that works for a FCA-regulated Investment Firm. It can be used as both an induction course, for example for new staff members, and a refresher course.
-+
60 Minutes 1 CPD Point

Anti-Bribery
for UK Investment Firms

Anti-Bribery
for UK Investment Firms

This course is for staff members at an FCA-regulated investment firm and aims to provide you with a sound understanding of bribery and corruption, and steps taken to combat this.

Learning outcomes
On completion of this course, you will:
• Understand the concepts of bribery and corruption
• Identify the framework in place to manage and mitigate bribery and corruption risks
• Understand how this framework applies to your firm
• Understand how this framework applies to your role and responsibilities
-+
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Cyber Security Courses

45 Minutes 0.75 CPD Points

Introductory Cyber Security
for UK Financial Institutions

Introductory Cyber Security
for UK Financial Institutions

This 45-minute course is suitable for Senior Executives, Non-Executive Directors and broader staff requiring an overview of Cyber Security terminology and good preventative practices to apply in order to avoid the substantive risks associated with Cyber Security breaches in both your personal and your professional environments.

Learning outcomes
On completion of this course, you will:
• Understand the key concepts of Cyber Security
• Understand the tools used by cyber criminals to access systems
• Have a sound understanding of the different types of cyber crimes
• Understand how to detect and avoid cyber attacks
• Achieve 0.75 CPD points

This course is suitable for anyone working in the UK Financial Services Industry requiring an all-encompassing understanding of Cyber Security.
-+
90 Minutes 1.5 CPD Points

Comprehensive Cyber Security
for UK Financial Institutions

Comprehensive Cyber Security
for UK Financial Institutions

More time-efficient than classroom learning and able to be completed in multiple-sittings, this 90-minute course is suitable as introductory or refresher training for all employees. It will provide you with comprehensive knowledge of Cyber Security terminology and good preventative practices to apply in order to avoid the substantive risks associated with Cyber Security breaches in both your personal and your professional environments, including tangible examples of how these risk can play out, and their potentially devastating effects.

Learning outcomes
On completion of this course, you will:
• Understand the key concepts of Cyber Security
• Understand the tools used by cyber criminals to access systems
• Have a sound understanding of the different types of cyber crimes
• Tangibly experience cyber security susceptibility
• Understand how to detect and avoid cyber attacks
• Achieve 1.5 CPD points

This course is suitable for anyone working in the UK Financial Services Industry requiring an all-encompassing understanding of Cyber Security.
-+
45 Minutes CPD Points

Introductory Cyber Security
for US Financial Institutions

Introductory Cyber Security
for US Financial Institutions

This 45-minute course is suitable for Senior Executives, Non-Executive Directors and broader staff requiring an overview of Cyber Security terminology and good preventative practices to apply in order to avoid the substantive risks associated with Cyber Security breaches in both your personal and your professional environments.

Learning outcomes
On completion of this course, you will:
• Understand the key concepts of Cyber Security
• Understand the tools used by cyber criminals to access systems
• Have a sound understanding of the different types of cyber crimes
• Understand how to detect and avoid cyber attacks

This course is suitable for anyone working in the US Financial Services Industry needing to master the basics of Cyber Security.
-+
90 Minutes CPD Points

Comprehensive Cyber Security
for US Financial Institutions

Comprehensive Cyber Security
for US Financial Institutions

More time-efficient than classroom learning and able to be completed in multiple-sittings, this 90-minute course is suitable as introductory or refresher training for all employees. It will provide you with comprehensive knowledge of Cyber Security terminology and good preventative practices to apply in order to avoid the substantive risks associated with Cyber Security breaches in both your personal and your professional environments, including tangible examples of how these risk can play out, and their potentially devastating effects.

Learning outcomes
On completion of this course, you will:
• Understand the key concepts of Cyber Security
• Understand the tools used by cyber criminals to access systems
• Have a sound understanding of the different types of cyber crimes
• Tangibly experience cyber security susceptibility
• Understand how to detect and avoid cyber attacks

This course is suitable for anyone working in the US Financial Services Industry requiring an all-encompassing understanding of Cyber Security.
-+
45 Minutes 0.75 CPD Points

Introductory Cyber Security Training for All Industries

Introductory Cyber Security Training for All Industries

This 45-minute course is suitable for Senior Executives, Non-Executive Directors and broader staff requiring an overview of Cyber Security terminology and good preventative practices to apply in order to avoid the substantive risks associated with Cyber Security breaches in both your personal and your professional environments, and is broadly relevant to all industries.

Learning outcomes

On completion of this course, you will:
• Understand the key concepts of Cyber Security
• Understand the tools used by cyber criminals to access systems
• Have a sound understanding of the different types of cyber crimes
• Understand how to detect and avoid cyber attacks
• Achieve 0.75 CPD points

This course is globally relevant and suitable for all levels of staff across all industries requiring an all-encompassing understanding of Cyber Security.
-+
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Compliance Induction & Refresher Courses

45 Minutes 0.75 CPD Points

FCA Induction
for Investment Firms

FCA Induction
for Investment Firms

This course provides a sound knowledge and awareness of key FCA compliance concepts that relate to both the individual’s employer and to the individual in a personal capacity.

The individual is also given guidance on the appropriate course of action to be taken when encountering compliance issues.

This module is suitable for anyone that starts working for a FCA-regulated Investment Firm, aside from Senior Managers (who should instead take the module ‘Compliance Induction for Senior Managers at Investment Firms’).

Learning outcomes
On completion of this course, you will:
• Understand why Financial Services need to be regulated
• Understand the UK Financial Services regulatory framework
• Understand how the FCA functions
• Have a sound understanding of key regulatory themes including: Conduct of business; Conflicts of interest; Senior management arrangements, systems and controls; Resilience; Financial crime; and Conduct and governance
• Understand how the key regulatory themes effect you personally
• Understand how a firm implements the regulatory framework
• Achieve 0.75 CPD points
-+
45 Minutes 0.75 CPD Points

FCA Induction for Senior Managers at Investment Firms

FCA Induction for Senior Managers at Investment Firms

This course provides a sound knowledge and awareness of key FCA compliance concepts that relate to both the individual’s employer and to the individual as a Senior Manager.

The individual is also given guidance on managing compliance risk, and appropriate courses of action to be taken when encountering compliance issues.

This module is suitable for anyone that starts working in a Senior Manager capacity as classified per the Senior Managers and Certification Regime at a FCA-regulated Investment Firm

Learning outcomes
On completion of this course, you will:
• Understand the relationship between Financial Services and Regulation
• Understand the UK Financial Services regulatory framework specific to Senior Managers
• Understand how the FCA functions
• Have a sound understanding of the FCA Principles and their linkage to Rules
• Have a sound understanding of Culture and Governance specific to Senior Managers
• Have a sound understanding of Conflicts of Interest specific to Senior Managers
• Have a sound understanding of SYSC (Senior Management Arrangements, Systems and Controls Sourcebook)
• Have a sound understanding of Conduct of Business and Resilience
• Understand the financial crime framework and personal liability as a Senior Manager
• Understand how a firm implements the regulatory framework
• Achieve 0.75 CPD points
-+
45 Minutes 0.75 CPD Points

FCA Refresher
for Investment Firms

FCA Refresher
for Investment Firms

This course provides a refresher of key FCA compliance concepts that relate both to the individual‘s employer and to the individual in a personal capacity.

The individual is also given guidance on the appropriate course of action to be taken when encountering compliance issues.

This module is suitable for anyone that works for a FCA-regulated Investment Firm, aside from Senior Managers (who should instead take the module ‘Compliance Refresher for Senior Managers at Investment Firms’.

Learning outcomes
On completion of this course, you will:
• Refresh your knowledge about why Financial Services need to be regulated
• Refresh your knowledge of the UK Financial Services regulatory framework
• Refresh your knowledge of how the FCA functions
• Refresh your knowledge of key regulatory themes including: Conduct of business; Conflicts of interest; Senior management arrangements, systems and controls; Resilience; Financial crime; and Conduct and governance
• Refresh your knowledge of how the key regulatory themes effect you personally
• Refresh your knowledge of how a firm implements the regulatory framework
• Achieve 0.75 CPD points
-+
45 Minutes 0.75 CPD Points

FCA Refresher for Senior Managers at Investment Firms

FCA Refresher for Senior Managers at Investment Firms

This course provides a refresher of key FCA compliance concepts that relate to both the individual’s employer and to the individual as a Senior Manager.

The individual is also given guidance on managing compliance risk, and appropriate courses of action to be taken when encountering compliance issues.

This module is suitable for anyone that works for a FCA-regulated Investment Firm, and is classified as a Senior Manager per the Senior Managers and Certification Regime.

Learning outcomes
On completion of this course, you will:
• Refresh your knowledge of the importance of Regulation
• Refresh your knowledge of the UK Financial Services regulatory framework specific to Senior Managers
• Refresh your knowledge of how the FCA functions
• Refresh your knowledge of the FCA Principles and their linkage to Rules
• Refresh your knowledge of Culture and Governance specific to Senior Managers
• Refresh your knowledge of Conflicts of Interest specific to Senior Managers
• Refresh your knowledge of SYSC (Senior Management Arrangements, Systems and Controls Sourcebook)
• Refresh your knowledge of Conduct of Business and Resilience
• Refresh your knowledge of the financial crime framework and personal liability as a Senior Manager
• Refresh your knowledge of how a firm implements the regulatory framework
• Achieve 0.75 CPD points
-+
60 Minutes CPD Points

SEC Induction for Registered Investment Advisers

SEC Induction for Registered Investment Advisers

This course is designed to provide a sound knowledge and awareness of key SEC compliance concepts that relate to both the individual’s employer and to the individual in a personal capacity.

The individual is also given guidance on the appropriate course of action to be taken when encountering compliance issues.

Throughout the course, the individual is required to check their understanding on the material presented.

This module is suitable for anyone that starts working for an SEC-regulated Investment Firm.

Learning outcomes
On completion of this course, you will:
• Understand why firms are registered with the SEC,
• Appreciate the importance of the firm’s Form ADV as a key public disclosure document
• Refresh your knowledge on the adviser’s fiduciary responsibility to clients
• Have a sound understanding of the Compliance Framework when providing advisory investment services to your clients
• Understand advertising rules and restrictions
• Understand required disclosures to clients and investors
• Understand reporting requirement to the SEC, including all relevant forms
• Understand insider dealing and financial crime framework
• Have a sound understanding of the SEC supervises firms
-+
60 Minutes CPD Points

SEC Refresher for Registered Investment Advisers

SEC Refresher for Registered Investment Advisers

This course provides a sound knowledge and awareness of key SEC compliance concepts that relate to both the individual’s employer and to the individual in a personal capacity.

The individual is also given guidance on the appropriate course of action to be taken when encountering compliance issues.

This module is suitable for anyone that is working for an SEC-regulated Investment Firm.

Learning outcomes
On completion of this refresher course, you will:
• Understand why firms are registered with the SEC,
• Appreciate the importance of the firm’s Form ADV as a key public disclosure document
• Refresh your knowledge on the adviser’s fiduciary responsibility to clients
• Have a sound understanding of the Compliance Framework when providing advisory investment services to your clients
• Understand advertising rules and restrictions
• Understand required disclosures to clients and investors
• Understand reporting requirement to the SEC, including all relevant forms
• Understand insider dealing and financial crime framework
• Have a sound understanding of the SEC supervises firms
-+
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SMCR Courses by Type of Firm

SMCR Courses
for Limited Scope Firms

SMCR Courses
for Core Firms

SMCR Courses
for Enhanced Firms

SMCR Courses for
UK Banks & Building Societies

SMCR Courses
for UK Credit Unions

SMCR Courses for UK Branches
of EEA & Non-EEA Banks

Need assistance? Contact Sales

SMCR Courses for Limited Scope Firms

45 Minutes 0.75 CPD Points

SMCR Overview

SMCR Overview

This course is designed to provide a summary of the SMCR requirements for as they apply to a ‘Limited Scope Firm’. It reviews the key concepts with a view to ensuring that your firm has a sound understanding of SMCR.

Learning outcomes
On completion of this course, you will:
• Understand the SMCR regime, as it relates to a Limited Scope Firm
• Understand the three key components of SMCR: Senior Managers Regime; Certification Regime; and the Conduct Rules
• Achieve 0.75 CPD points


This course can be applied as both an ‘introductory’ course and a ‘refresher’ course.
-+
45 Minutes 0.75 CPD Points

SMCR For Senior Managers

SMCR For Senior Managers

This course details the requirements of SMCR as it applies to Senior Managers, including the Senior Managers Regime, the Certification Regime and the Conduct Rules. It will give any Senior Manager the tools they need to understand their obligations and personal liability.

Learning outcomes
On completion of this course, you will:
• Understand the SMCR regime as it relates to Senior Managers
• Understand the internal framework and your responsibilities as a Senior Manager
• Have a sound understanding of the Fit and Proper requirements of a Senior Manager
• Understand how Conduct Rules apply to Senior Managers and all other staff
• Understand the SMCR-related FCA notifications that relate to Senior Managers
• Understand how the Certification Regime relates to your subordinate staff
• Achieve 0.75 CPD points

In addition to Senior Managers this course is also suitable for:
• Individuals reporting to Senior Managers
• Project managers and administrators

This course can be applied as both an ‘introductory’ course and a ‘refresher’ course.
-+
45 Minutes 0.75 CPD Points

SMCR for Certified Staff

SMCR for Certified Staff

This course sets out the aspects of SMCR that are applicable to individuals undertaking Certification Functions, including the Certification Regime and the Conduct Rules. This course is suitable for:
• Individuals undertaking Certification Functions
• Senior Managers who supervise Certified Employees
• Project managers and administrators

Learning outcomes
On completion of this course, you will:
• Understand how SMCR applies to a Certified Person
• Have a sound understanding of the Certification Regime and your responsibilities as a Certified Person
• Have a sound understanding of the Fit and Proper requirements of a Certified Person
• Understand how Conduct Rules apply to a Certified Person
• Understand the risks of contravening the SMCR regime as a Certified Person
• Achieve 0.75 CPD points

This course can be applied as both an ‘introductory’ course and a ‘refresher’ course.
-+
30 Minutes 0.5 CPD Points

SMCR Conduct Rules

SMCR Conduct Rules

This course provides a focussed overview of the Individual Conduct Rules for which annual training is required, for individuals working at Limited Scope Firms who are subject to SMCR, but are neither Senior Managers nor subject to the Certification Regime.

Learning outcomes
On completion of this course, you will:
• Understand the aims of SMCR
• Attain a high-level understanding of the three areas of SMCR: Senior Managers Regime, Certification Regime and Conduct Rules
• Have a sound understanding of the Conduct Rules and how they apply to you
• Understand the risks of contravening the Conduct Rules
• Achieve 0.5 CPD points

This course can be applied as both an ‘introductory’ course and a ‘refresher’ course.
-+
Need assistance? Contact Sales

SMCR Courses for Enhanced Firms

45 Minutes 0.75 CPD Points

SMCR Overview

SMCR Overview

This course is designed to provide a summary of the SMCR requirements as they apply to an ‘Enhanced Firm’. It reviews the key concepts with a view to ensuring that your firm has a sound understanding of SMCR.

This course is suitable for anyone that is seeking to enhance their understanding of how SMCR applies from the firm’s perspective, including:
• Senior Managers
• Project managers and administrators
• Individuals performing a compliance, risk or audit function
• Human resources professionals

Learning outcomes
On completion of this course, you will:
• Have a sound understanding of the SMCR regime, as it relates to an Enhanced Firm
• Understand the three key components of SMCR: Senior Managers Regime; Certification Regime; and the Conduct Rules
• Achieve 0.75 CPD points

This course can be applied as both an ‘introductory’ course and a ‘refresher’ course.
-+
45 Minutes 0.75 CPD Points

SMCR for Senior Managers

SMCR for Senior Managers

This course details the requirements of SMCR as it applies to Senior Managers, including the Senior Managers Regime, the Certification Regime and the Conduct Rules. It will give any Senior Manager the tools they need to understand their obligations and personal liability.

Learning outcomes
On completion of this course, you will:
• Have a sound understanding of the SMCR regime as it relates to Senior Managers
• Understand the internal framework and your responsibilities as a Senior Manager
• Have a sound understanding of the Fit and Proper requirements of a Senior Manager
• Understand how Conduct Rules apply to Senior Managers and all other staff
• Understand the SMCR-related FCA notifications that relate to Senior Managers
• Understand how the Certification Regime relates to your subordinate staff
• Achieve 0.75 CPD points

In addition to Senior Managers this course is suitable for:
• Individuals reporting to Senior Managers
• Project managers and administrators

This course can be applied as both an ‘introductory’ course and a ‘refresher’ course.
-+
45 Minutes 0.75 CPD Points

SMCR For Certified Staff

SMCR For Certified Staff

This course sets out the aspects of SMCR that are applicable to individuals undertaking Certification Functions, including the Certification Regime and the Conduct Rule. This course is suitable for:
• Individuals undertaking Certification Functions
• Senior Managers who supervise Certified Employees
• Project managers and administrators

Learning outcomes
On completion of this course, you will:
• Understand how SMCR applies to a Certified Person
• Have a sound understanding of the Certification Regime and your responsibilities as a Certified Person
• Have a sound understanding of the Fit and Proper requirements of a Certified Person
• Understand how Conduct Rules apply to a Certified Person
• Understand the risks of contravening the SMCR regime as a Certified Person
• Achieve 0.75 CPD points

This course can be applied as both an ‘introductory’ course and a ‘refresher’ course.
-+
30 Minutes 0.5 CPD Points

SMCR Conduct Rules

SMCR Conduct Rules

This course provides a focussed overview of the Individual Conduct Rules for which annual training is required, for individuals working at Enhanced Firms who are subject to SMCR, but are neither Senior Managers nor subject to the Certification Regime.

Learning outcomes
On completion of this course, you will:
• Understand the aim of SMCR
• Attain a high-level understanding of the three areas of SMCR: Senior Managers Regime, Certification Regime and Conduct Rules
• Have a sound understanding of the Conduct Rules and how they apply to you
• Understand the risks of contravening the Conduct Rules
• Achieve 0.5 CPD points

This course can be applied as both an ‘introductory’ course and a ‘refresher’ course.
-+
Need assistance? Contact Sales

SMCR Courses for UK Banks & Building Societies

45 Minutes 0.75 CPD Points

SMCR Overview

SMCR Overview

This course is designed to provide a summary of the SMCR requirements as they apply to a Bank or a Building Society that is incorporated in the United Kingdom. It reviews the key concepts with a view to ensuring that your firm has a sound understanding of SMCR.

This course is suitable for anyone that is seeking to enhance their understanding of how SMCR applies from the firm’s perspective, including:
• Senior Managers
• Project managers and administrators
• Individuals performing a compliance, risk or audit function
• Human resources professionals

Learning outcomes
On completion of this course, you will:
• Have a sound understanding of the SMCR regime as it relates to UK Banks and Building Societies
• Understand the three key components of SMCR: Senior Managers Regime; Certification Regime; and the Conduct Rules
• Achieve 0.75 CPD points

This course can be applied as both an ‘introductory’ course and a ‘refresher’ course.
-+
45 Minutes 0.75 CPD Points

SMCR for Senior Managers

SMCR for Senior Managers

This course details the requirements of SMCR as it applies to Senior Managers at UK incorporated Banks and Building Societies, including the Senior Managers Regime, the Certification Regime and the Conduct Rules. It will give any Senior Manager the tools they need to understand their obligations and personal liability.

In addition to Senior Managers this course is suitable for:
• Individuals reporting to Senior Managers
• Project managers and administrators

Learning outcomes
On completion of this course, you will:
• Have a sound understanding of the SMCR regime as it relates to Senior Managers at UK Banks and Building Societies
• Understand the internal framework and your responsibilities as a Senior Manager Managers at a UK Bank or Building Society
• Have a sound understanding of the Fit and Proper requirements of a Senior Manager at a UK Bank or Building Society
• Understand how Conduct Rules apply to Senior Managers and all other staff at a UK Bank or Building Society
• Understand the SMCR-related FCA notifications that relate to Senior Managers at a UK Bank or Building Society
• Understand how the Certification Regime relates to your subordinate staff at a UK Bank or Building Society
• Achieve 0.75 CPD points

This course can be applied as both an ‘introductory’ course and a ‘refresher’ course.
-+
45 Minutes 0.75 CPD Points

SMCR For Certified Staff

SMCR For Certified Staff

This course sets out the aspects of SMCR that are applicable to individuals undertaking Certification Functions at UK incorporated Banks and Building Societies, including the Certification Regime and the Conduct Rule. This course is suitable for:
• Individuals undertaking Certification Functions
• Senior Managers who supervise Certified Employees
• Project managers and administrators

Learning outcomes

On completion of this course, you will:
• Understand how SMCR applies to a Certified Person
• Have a sound understanding of the Certification Regime and your responsibilities as a Certified Person
• Have a sound understanding of the Fit and Proper requirements of a Certified Person
• Understand how Conduct Rules apply to a Certified Person
• Understand the risks of contravening the SMCR regime as a Certified Person
• Achieve 0.75 CPD points

This course can be applied as both an ‘introductory’ course and a ‘refresher’ course.
-+
30 Minutes 0.5 CPD Points

SMCR Conduct Rules

SMCR Conduct Rules

This course provides a focussed overview of the Individual Conduct Rules for which annual training is required, for individuals working at a UK incorporated Bank or Building Society who are subject to SMCR, but are neither Senior Managers nor subject to the Certification Regime.

Learning outcomes
On completion of this course, you will:
• Understand the aim of SMCR in relation to staff at UK Banks and Building Societies
• Attain a high-level understanding of the three areas of SMCR: Senior Managers Regime, Certification Regime and Conduct Rules
• Have a sound understanding of the Conduct Rules and how these apply to you
• Understand the risks of contravening the Conduct Rules
• Achieve 0.5 CPD points

This course can be applied as both an ‘introductory’ course and a ‘refresher’ course.
-+
Need assistance? Contact Sales

SMCR Courses for UK Credit Unions

45 Minutes 0.75 CPD Points

SMCR Overview

SMCR Overview

This course is designed to provide a summary of the SMCR requirements as they apply to a UK authorised Credit Union. It reviews the key concepts with a view to ensuring that your firm has a sound understanding of SMCR.

This course is suitable for anyone that is seeking to enhance their understanding of how SMCR applies from the firm’s perspective, including:
• Senior Managers
• Project managers and administrators
• Individuals performing a compliance, risk or audit function
• Human resources professionals

Learning outcomes
On completion of this course, you will:
• Have a sound understanding of the SMCR regime as it relates to Credit Unions
• Understand the three key components of SMCR: Senior Managers Regime; Certification Regime; and the Conduct Rules
• Achieve 0.75 CPD points

This course can be applied as both an ‘introductory’ course and a ‘refresher’ course.
-+
45 Minutes 0.75 CPD Points

SMCR for Senior Managers

SMCR for Senior Managers

This course details the requirements of SMCR as it applies to Senior Managers at Credit Unions in the UK, including the Senior Managers Regime, the Certification Regime and the Conduct Rules. It will give any Senior Manager the tools they need to understand their obligations and personal liability.

In addition to Senior Managers this course is suitable for:
• Individuals reporting to Senior Managers
• Project managers and administrators

Learning outcomes
On completion of this course, you will:
• Have a sound understanding of the SMCR regime as it relates to Senior Managers at Credit Unions
• Understand the internal framework and your responsibilities as a Senior Manager Managers at a Credit Union
• Have a sound understanding of the Fit and Proper requirements of a Senior Manager at a Credit Union
• Understand how Conduct Rules apply to Senior Managers and all other staff at a Credit Union
• Understand the SMCR-related FCA notifications that relate to Senior Managers at a Credit Union
• Understand how the Certification Regime relates to your subordinate staff at a Credit Union
• Achieve 0.75 CPD points

This course can be applied as both an ‘introductory’ course and a ‘refresher’ course.
-+
45 Minutes 0.75 CPD Points

SMCR For Certified Staff

SMCR For Certified Staff

This course sets out the aspects of SMCR that are applicable to individuals undertaking Certification Functions at Credit Unions in the UK, including the Certification Regime and the Conduct Rule.

This course is suitable for:
• Individuals undertaking Certification Functions
• Senior Managers who supervise Certified Employees
• Project managers and administrators

Learning outcomes
On completion of this course, you will:
• Understand how SMCR applies to a Certified Person at a Credit Union
• Have a sound understanding of the Certification Regime and your responsibilities as a Certified Person at a Credit Union
• Have a sound understanding of the Fit and Proper requirements of a Certified Person at a Credit Union
• Understand how Conduct Rules apply to a Certified Person at a Credit Union
• Understand the risks of contravening the SMCR regime as a Certified Person at a Credit Union
• Achieve 0.75 CPD points

This course can be applied as both an ‘introductory’ course and a ‘refresher’ course.
-+
30 Minutes 0.5 CPD Points

SMCR Conduct Rules

SMCR Conduct Rules

This course provides a focussed overview of the Individual Conduct Rules for which annual training is required, for individuals working at UK Credit Unions who are subject to SMCR, but are neither Senior Managers nor subject to the Certification Regime.

Learning outcomes
On completion of this course, you will:
• Understand the aim of SMCR in relation to staff at Credit Unions
• Understand the three key components of SMCR: Senior Managers Regime; Certification Regime; and the Conduct Rules
• Have a sound understanding of the Conduct Rules and how these apply to you
• Understand the risks of contravening the Conduct Rules
• Achieve 0.5 CPD points

This course can be applied as both an ‘introductory’ course and a ‘refresher’ course.
-+
Need assistance? Contact Sales

SMCR Courses for UK Branches of EEA Banks

45 Minutes 0.75 CPD Points

SMCR Overview

SMCR Overview

This course is designed to provide a summary of the SMCR requirements as they apply to Banks incorporated in the EEA that are entitled to accept deposits through a branch in the UK. It reviews the key concepts with a view to ensuring that your firm has a sound understanding of SMCR.

This course is suitable for anyone that is seeking to enhance their understanding of how SMCR applies from the firm’s perspective, including:
• Senior Managers
• Project managers and administrators
• Individuals performing a compliance, risk or audit function
• Human resources professionals

Learning outcomes
On completion of this course, you will:
• Have a sound understanding of the SMCR regime as it relates to UK Branches of EEA Banks
• Understand the three key components of SMCR: Senior Managers Regime; Certification Regime; and the Conduct Rules
• Achieve 0.75 CPD points

This course can be applied as both an ‘introductory’ course and a ‘refresher’ course.
-+
45 Minutes 0.75 CPD Points

SMCR for Senior Managers

SMCR for Senior Managers

This course details the requirements of SMCR as it applies to Senior Managers at UK branches of EEA Banks, including the Senior Managers Regime, the Certification Regime and the Conduct Rules. It will give any Senior Manager the tools they need to understand their obligations and personal liability.

In addition to Senior Managers this course is suitable for:
• Individuals reporting to Senior Managers
• Project managers and administrators

Learning outcomes
On completion of this course, you will:
• Have a sound understanding of the SMCR regime as it relates to Senior Managers at UK Branches of EEA Banks
• Understand the internal framework and your responsibilities as a Senior Manager Managers at a UK Branch of an EEA Bank
• Have a sound understanding of the Fit and Proper requirements of a Senior Manager at a UK Branch of an EEA Bank
• Understand how Conduct Rules apply to Senior Managers and all other staff at a UK Branch of an EEA Bank
• Understand the SMCR-related FCA notifications that relate to Senior Managers at a UK Branch of an EEA Bank
• Understand how the Certification Regime relates to your subordinate staff at a UK Branch of an EEA Bank
• Achieve 0.75 CPD points

This course can be applied as both an ‘introductory’ course and a ‘refresher’ course.
-+
45 Minutes 0.75 CPD Points

SMCR For Certified Staff

SMCR For Certified Staff

This course sets out the aspects of SMCR that are applicable to individuals undertaking Certification Functions at UK branches of EEA Banks, including the Certification Regime and the Conduct Rule.

This course is suitable for:
• Individuals undertaking Certification Functions
• Senior Managers who supervise Certified Employees
• Project managers and administrators

Learning outcomes
On completion of this course, you will:
• Understand how SMCR applies to a Certified Person at a UK Branch of an EEA Bank
• Have a sound understanding of the Certification Regime and your responsibilities as a Certified Person at a UK Branch of an EEA Bank
• Have a sound understanding of the Fit and Proper requirements of a Certified Person at a UK Branch of an EEA Bank
• Understand how Conduct Rules apply to a Certified Person at a UK Branch of an EEA Bank
• Understand the risks of contravening the SMCR regime as a Certified Person at a UK Branch of an EEA Bank
• Achieve 0.75 CPD points

This course can be applied as both an ‘introductory’ course and a ‘refresher’ course.
-+
30 Minutes 0.5 CPD Points

SMCR Conduct Rules

SMCR Conduct Rules

This course provides a focussed overview of the Individual Conduct Rules for which annual training is required, for individuals working at UK branches of EEA banks who are subject to SMCR, but are neither Senior Managers nor subject to the Certification Regime.

Learning outcomes
On completion of this course, you will:
• Understand the aim of SMCR in relation to staff at UK Branches of EEA Banks
• Attain a high-level understanding of the three areas of SMCR: Senior Managers Regime, Certification Regime and Conduct Rules
• Have a sound understanding of the Conduct Rules and how they apply to you
• Understand the risks of contravening the Conduct Rules
• Achieve 0.5 CPD points

This course can be applied as both an ‘introductory’ course and a ‘refresher’ course.
-+
Need assistance? Contact Sales

SMCR Courses for UK Branches of non-EEA Banks

45 Minutes 0.75 CPD Points

SMCR Overview

SMCR Overview

This course is designed to provide a summary of the SMCR requirements as they apply to Banks incorporated outside the EEA that are authorised to accept deposits through a branch in the UK. It reviews the key concepts with a view to ensuring that your firm has a sound understanding of SMCR.

This course is suitable for anyone that is seeking to enhance their understanding of how SMCR applies from the firm’s perspective, including:
• Senior Managers
• Project managers and administrators
• Individuals performing a compliance, risk or audit function
• Human resources professionals

Learning outcomes
On completion of this course, you will:
• Have a sound understanding of the SMCR regime as it relates to UK Branches of non-EEA Banks
• Understand the three key components of SMCR: Senior Managers Regime; Certification Regime; and the Conduct Rules
• Achieve 0.75 CPD points

This course can be applied as both an ‘introductory’ course and a ‘refresher’ course.
-+
45 Minutes 0.75 CPD Points

SMCR for Senior Managers

SMCR for Senior Managers

This course details the requirements of SMCR as it applies to Senior Managers at UK branches of non-EEA Banks, including the Senior Managers Regime, the Certification Regime and the Conduct Rules. It will give any Senior Manager the tools they need to understand their obligations and personal liability.

In addition to Senior Managers this course is suitable for:
• Individuals reporting to Senior Managers
• Project managers and administrators

Learning outcomes
On completion of this course, you will:
• Have a sound understanding of the SMCR regime as it relates to Senior Managers at UK Branches of non-EEA Banks
• Understand the internal framework and your responsibilities as a Senior Manager Managers at a UK Branch of a non-EEA Bank
• Have a sound understanding of the Fit and Proper requirements of a Senior Manager at a UK Branch of a non-EEA Bank
• Understand how Conduct Rules apply to Senior Managers and all other staff at a UK Branch of a non-EEA Bank
• Understand the SMCR-related FCA notifications that relate to Senior Managers at a UK Branch of a non-EEA Bank
• Understand how the Certification Regime relates to your subordinate staff at a UK Branch of a non-EEA Bank
• Achieve 0.75 CPD points

This course can be applied as both an ‘introductory’ course and a ‘refresher’ course.
-+
45 Minutes 0.75 CPD Points

SMCR For Certified Staff

SMCR For Certified Staff

This course sets out the aspects of SMCR that are applicable to individuals undertaking Certification Functions at UK branches of non-EEA Banks, including the Certification Regime and the Conduct Rule.

This course is suitable for:
• Individuals undertaking Certification Functions
• Senior Managers who supervise Certified Employees
• Project managers and administrators

Learning outcomes
On completion of this course, you will:
• Understand how SMCR applies to a Certified Person at a UK Branch of a non-EEA Bank
• Have a sound understanding of the Certification Regime and your responsibilities as a Certified Person at a UK Branch of a non-EEA Bank
• Have a sound understanding of the Fit and Proper requirements of a Certified Person at a UK Branch of a non-EEA Bank
• Understand how Conduct Rules apply to a Certified Person at a UK Branch of a non-EEA Bank
• Understand the risks of contravening the SMCR regime as a Certified Person at a UK Branch of a non-EEA Bank
• Achieve 0.75 CPD points

This course can be applied as both an ‘introductory’ course and a ‘refresher’ course.
-+
30 Minutes 0.5 CPD Points

SMCR Conduct Rules

SMCR Conduct Rules

This course provides a focussed overview of the Individual Conduct Rules for which annual training is required, for individuals working at UK branches of non-EEA banks who are subject to SMCR, but are neither Senior Managers nor subject to the Certification Regime.

Learning outcomes
On completion of this course, you will:
• Understand the aim of SMCR in relation to staff at UK Branches of non-EEA Banks
• Attain a high-level understanding of the three areas of SMCR: Senior Managers Regime, Certification Regime and Conduct Rules
• Have a sound understanding of the Conduct Rules and how these apply to you
• Understand the risks of contravening the Conduct Rules
• Achieve 0.5 CPD points

This course can be applied as both an ‘introductory’ course and a ‘refresher’ course.
-+
Need assistance? Contact Sales

Purchasing, Onboarding & Volume Discounts

You can purchase any combination of our broad range of e-Learning courses and onboard multiple users in your Firm in just four quick and easy online steps, including automated Volume Discounts.

Benefits of our
e-Learning Courses

Click below for more information about the benefits of our courses.

Download our
e-Learning Brochures

Click below to download our
e-Learning brochures.

Download our
Rate Card

Click below to download our
e-Learning Rate Card.

Complete the form and we'll be in contact soonest to assist:


Accessible

All courses are accessible on our bespoke web or app platforms immediately upon purchase.

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Automated

All courses are delivered through fully-automated, interactive online visual solutions.

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Affordable

Courses cost from as little as £20 per Learner per Course, or £6 per Learner on Subscription.

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Certified

A certificate is issued on successful completion of all courses for compliance-filing and all UK courses are CPD-certified.

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Measurable

All courses include regular ‘Check Your Knowledge’ sections throughout and an end-of-course Quiz.

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Fast

Courses take from 30 to 90 minutes to complete and can be viewed and completed in multiple sittings.

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Purchasing, Onboarding & Volume Discounts

You can purchase any combination of our broad range of e-Learning courses and onboard multiple users in your Firm, in just four quick and easy online steps:

  1. Select the courses and add them to your Basket
  2. Checkout and purchase your course(s)
  3. Sign In and Register your relevant employees/Users
  4. Allocate all your registered employees/Users to their course(s)

We’ll help you connect the dots with clear prompts and assistance throughout this quick and easy four-step process, which includes applying automated Volume Discounts depending on the number of courses you purchase, as follows:

Number of courses Volume Discount
10 – 24 Courses 2.5% Discount
25 – 49 Courses 5% Discount
50 – 99 Courses 7.5% Discount
100 – 149 Courses 10% Discount
150 – 199 Courses 12.5% Discount
200 – 249 Courses 15% Discount
250 – 299 Courses 17.5% Discount
>300 Courses 20% Discount

You will receive an enrolment email for each Course you sign Users up to.

Once registered and enrolled onto their course(s), your employees/Users will each receive a welcome email inclusive of their login credentials/instructions together with a separate enrolment confirmation for each of their courses.

All Clients have access to a centralised User Dashboard with Live Reporting on the progress of all your enrolled employees/Users and from where you can download all your employees/Users Course Certificates once they have successfully completed their courses. This is clearly explained in our Power User Guide, downloadable from your Account.

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