UK Branches of non-EEA Banks:
SMCR Conduct Rules

The price for this course: £30.00 excl. VAT

Contact Sales

UK Branches of non-EEA Banks:
SMCR Conduct Rules

The price for this course: £30.00

Add to Basket

Contact Sales

30 mins

0.5 points

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.

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.

If you’d prefer support from our team, please click ‘Contact Sales’ on any of our course pages, fill in the form and we will contact you to provide assistance.

Course outline

Introduction

- Back to the future
- The aims of SMCR
- Three elements
Conduct Rules overview

- Conduct Rules
- Who must follow the Conduct Rules?
- When do the Conduct Rules apply?
- What is the standard of conduct that is expected of me?
- Check your understanding
The Conduct Rules in detail

- Conduct Rule 1: You must act with integrity
- Conduct Rule 2: You must act with due skill, care and diligence
- Conduct Rule 3: You must be open and cooperative with the FCA, the PRA
- and other regulators
- Conduct Rule 4: You must pay due regard to the interests of customers and treat them fairly
- Conduct Rule 5: You must observe proper standards of market conduct
What are the risks to you?

- Internal disciplinary action and reporting breaches to the regulators
- Regulatory sanctions
- What else should you be aware of?
Quiz

- 80% Pass Mark
Conclusion

- Conclusion
- Further information & downloading your certificate