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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.

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Our SMCR courses:

We offer four different 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.
  • SMCR for Certified Staff: For individuals that have been identified as being a Senior Manager under SMCR and is inclusive of Conduct Rules.
  • 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.
  • SMCR Conduct Rules: For staff that are subject to the Conduct Rules framework but are neither a Senior Manager nor performing a Certification Function.

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

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  • SMCR Overview - course outline &
    learning outcomes:

    Our SMCR Overview course provides a summary of the SMCR requirements. It reviews the key concepts with a view to ensuring that your firm has a sound understanding of SMCR and is suitable for Senior Managers, Project Managers and Administrators, individuals performing a compliance, risk or audit function and Human Resources professionals. 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 takes 45 minutes to complete and can be completed in multiple sitting. It can be used as both an induction course for new staff members, as well as a refresher course for existing staff members.

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  • SMCR for Certified Staff - course outline &
    learning outcomes:

    Our SMCR for Certified Staff 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 and Project Managers and Administrators. 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 takes 45 minutes to complete and can be completed in multiple sitting. It can be used as both an induction course for new staff members, as well as a refresher course for existing staff members.

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  • SMCR for Senior Managers - course outline &
    learning outcomes:

    Our SMCR for Senior Managers 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. In addition to Senior Managers this course is also suitable for individuals reporting to Senior Managers and Project Managers and Administrators. 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

    This course takes 45 minutes to complete and can be completed in multiple sitting. It can be used as both an induction course for new staff members, as well as a refresher course for existing staff members.

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  • SMCR Conduct Rules - course outline &
    learning outcomes:

    Our SMCR Conduct Rules course provides a focussed overview of the Individual Conduct Rules for which annual training is required, for individuals who are subject to SMCR, but are neither Senior Managers nor subject to the Certification Regime. 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 takes 30 minutes to complete and can be completed in multiple sitting. It can be used as both an induction course for new staff members, as well as a refresher course for existing staff members.

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Our other e-Learning courses:

We offer over 40 e-Learning courses tailored to the UK and US Financial Services industry – click below 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

    Advanced 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
    • Understand the UKs Cyber Security legal framework
    • Understand risk and personal liability associated with Cyber Security
    • Achieve 2 CPD points

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CPD-certified SMCR courses from only £6 per learner!

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