UK SM&CR Compliance Training

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Deliver on Ethena or your LMS (SCORM)

Course Summary

The UK’s Senior Managers and Certification Regime puts personal accountability at the heart of financial conduct. This Ethena course helps your people understand the FCA Conduct Rules, who needs certifying, and what Consumer Duty expects of them.

The FCA Conduct Rules in practice
Senior Manager conduct responsibilities
Who needs certification and why
What Consumer Duty requires of you

Included Modules:

Understanding the FCA Conduct Rules

Introduces the FCA Conduct Rules under the SM&CR and the basic standards of behaviour they set for everyone working in financial services.

Putting the FCA Conduct Rules into Practice

Shows how the FCA Conduct Rules apply to real decisions at work, with everyday scenarios that test acting honestly, fairly, and with due care.

What Consumer Duty Requires of You

Explains the FCA’s Consumer Duty and its expectation that firms deliver good outcomes for retail customers across products, price, support, and understanding.

Conduct Rules for Senior Managers

Covers the additional FCA Conduct Rules for Senior Managers under the SM&CR, including effective control, regulatory disclosure, and oversight responsibilities.

Who Needs to Be Certified and Why

Explains the SM&CR Certification Regime, covering which roles count as significant harm functions and why firms must assess them as fit and proper.

Why is this training important for workplaces?

Anti-money laundering (AML) is crucial for maintaining the integrity of financial systems and preventing illegal activities. Implementing strong AML measures protects businesses from reputational damage, legal consequences, and financial losses. It ensures compliance with regulatory requirements and enhances trust among clients, investors, and stakeholders. By understanding and actively addressing money laundering risks, organizations can foster a safe and secure environment, safeguard their assets, and contribute to the overall stability of the financial ecosystem.

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