Our range of SM&CR training courses

The extension of the Senior Managers and Certification Regime (SM&CR) to all FCA-authorised firms in December 2019 represented a major overhaul of the way in which individuals working within financial services are regulated.

The new rules increase the number of employees who are subject to regulatory obligations, whilst significantly enhancing the accountability of those in senior management positions. They also impose potentially onerous obligations on firms, from the documentation of management responsibilities to the training of employees on the application of the Conduct Rules.

We have extensive experience in training senior managers and other staff who are subject to the SM&CR and we have developed a range of training solutions to suit a wide variety of requirements.

Why SM&CR is critical for your firm

The Senior Managers & Certification Regime came into force on 9th December 2019 for FCA-authorised firms and is comprised of three strands:

  1. Senior Management
  2. Certification
  3. Conduct Rules

This short video explains why SM&CR is critical for your firm:

Our SM&CR eLearning modules

Introduction to the SM&CR

A focused and coherent synopsis of the SM&CR that is perfect for raising awareness of the new regime.

SM&CR Conduct Rules

The CCL Academy has created three Conduct Rules eLearning modules, each one targeted at a particular subset of staff:

  1. Conduct Rules for Senior Managers
  2. Conduct Rules for Certification Staff
  3. Conduct Rules for Conduct Staff

SM&CR virtual training courses

We can facilitate private virtual training workshops for your firm on the following topics:

All of our private video training sessions can be tailored to the specific needs of your firm. To request a quote to conduct SM&CR training for your remote working employees, click here.

Some of our courses are also available publicly for individuals to join, you will find dates for the next virtual public training courses below.

Train the trainer

We can train your internal trainers and provide all of the materials you will need including slide packs, case studies and speaker notes. Please contact us for more information.