UK SM&CR Compliance Training

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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?

SM&CR sets out who’s accountable for what across a financial services firm, and it ties named senior managers and certified staff to clear conduct standards. When people don’t understand their responsibilities, firms risk regulatory action, fines, and reputational damage, and individuals can be held personally liable for failings on their watch. This training helps your team understand their duties, meet the conduct rules, and keep the firm on the right side of its regulators. Getting it right means fewer compliance gaps, cleaner audits, and a culture where everyone knows where the buck stops.

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