cpd

CPD-certified SMCR courses!

Why RQC Group for your SMCR training?

RQC Group is an established financial compliance consultancy with offices in London and New York, specialising in FCA, SEC and CFTC/NFA Compliance Consulting and Regulatory Hosting, servicing clients with AUM in excess of £580 billion.

Our industry-leading CPD-certified SMCR 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.

Our SMCR courses:

SMCR Overview

An overview of SMCR from the firm’s perspective and is of use to anyone within the firm to understand the new SMCR regulations.

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SMCR for Certified Staff

For individuals that have been identified as being a Senior Manager under SMCR and is inclusive of Conduct Rules.

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SMCR for Senior Managers

For individuals that have been identified as performing a Certification Function, but are not Senior Managers, and is inclusive of Conduct Rules.

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SMCR Conduct Rules

For staff that are subject to the Conduct Rules framework but are neither a Senior Manager nor performing a Certification Function.

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All four of these courses are available specifically tailored to various types of financial services firms, to deliver the most relevant training for any firm type, including:

  • Limited Scope Investment Firms
  • Core Investment Firms
  • Enhanced Investment Firms
  • Banks
  • Building Societies
  • Credit Unions
  • UK Branches of EEA Banks
  • UK Branches of non-EEA Banks

Our other e-Learning courses:

We offer over 40 e-Learning courses tailored to the UK and US Financial Services industry – click for the learning outcomes of our other UK courses:

  • FCA Compliance Training courses

    FCA Compliance Induction for Investment Firms

    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 Compliance Refresher for Investment Firms

    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 Compliance Induction for Senior Managers at Investment Firms

    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 Compliance Refresher for Senior Managers at Investment Firms

    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
  • Anti-Money Laundering Training course

    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
  • Market Abuse Training course

    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
  • Anti-Bribery Training course

    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
  • Cyber Security Training courses

    Introductory Cyber Security course

    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

    Comprehensive Cyber Security course

    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
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