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Conduct Rules for Non-Executive Directors (NEDs)

NEDs are an important part of a firm's governance and provide independence and oversight. In addition to complying with the statutory and fiduciary duties, NEDs in financial services have regulatory obligations.

The Conduct Rules set the standard of personal conduct for everyone in financial services. NEDs are subject to higher standards and a higher level of accountability than others in the firm. 

Our Conduct Rules for Non-Executive Directors (NEDs) course outlines which conduct rules apply to NEDs.

Start your trial Course details
  • 30 Minutes
  • Managers
  • Based on UK legislation, but suitable for global audiences upon the removal of UK-specific references and translation as necessary.

Learning objectives

  • Understand how the Senior Managers and Certification Regime (SM&CR) applies to NEDs
  • Understand when a NED may become the holder of a Senior Manager Function
  • Recall the Conduct Rules that apply to you as a NED
  • Explain how the Conduct Rules apply in practice
  • Describe how you will comply with the Conduct Rules in your role
  • Describe when the Prudential Regulation Authority (PRA) or Financial Conduct Authority (FCA) might take action for non-compliance with the Conduct Rules

    What can you expect your employees to learn?

Welcome

What are the Conduct Rules for NEDs?

  • NEDs are treated differently under SMCR

The Senior Managers & Certification Regime

  • What are the Conduct Rules?

Individual Conduct Rule 1: Integrity

  • Examples of breaches
  • You decide: Is it a breach?
  • Individual Conduct Rule 1: Key takeaways 

Individual Conduct Rule 2: Due skill, care & diligence

  • Examples of breaches
  • You decide: Is it a breach?
  • Individual Conduct Rule 2: Key takeaways

Individual Conduct Rule 3: Cooperation with regulators

  • Examples of breaches
  • You decide: Is it a breach?
  • Individual Conduct Rule 3: Key takeaways

Individual Conduct Rule 4: Customers' interests

  • Examples of breaches
  • You decide: Is it a breach?
  • Individual Conduct Rule 4: Key takeaways
  • Individual Conduct Rule 5: Market conduct
  • Examples of breaches
  • You decide: Is it a breach?
  • Individual Conduct Rule 5: Key takeaways

Individual Conduct Rule 6: Consumer Duty

  • Examples of breaches
  • You decide: Is it a breach?
  • Individual Conduct Rule 6: Key takeaways

Senior Manager Conduct Rule 4: Disclosures to regulators

  • You decide: Is it a breach?
  • Senior Manager Conduct Rule 4: Key takeaways
  • Handling breaches

Serious consequences

  • In the news: Regulatory repercussions
 

Summary

Affirmation

Assessment

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Your questions, answered

SMCR

CoreCompliance

Common FAQs

What is SMCR?

There are three key parts to the SMCR: Senior Managers Regime, Certified Persons Regime and Conduct Rules.

Senior Managers Regime
This enforces a detailed and clear allocation of responsibilities between senior managers at each firm, with particular emphasis placed on key documents - 'Statements of Responsibilities' and 'Responsibilities Maps'. These help to record the distribution of responsibility to individual Senior Managers and to demonstrate to the regulators that there are no gaps or excessive overlaps.

Always bear in mind that Senior Managers have a statutory duty of responsibility "to take reasonable steps to prevent regulatory breaches in the areas of the firm for which they are responsible".
Certification Regime
This requires firms to check and confirm that employees performing roles relating to the firm's regulated activities are fit and proper, based on their qualifications, competence and personal characteristics.

Once this has been confirmed, the firm needs to issue them with a certificate that must be renewed every year.
Conduct Rules
This consists of a set of rules provided in the FCA's Code of Conduct Handbook (COCON) that covers all individuals: Senior Managers, Certified Persons and other employees.

What is the scope of the SMCR?

SMCR rollout waves
The SMCR has been rolled out in three waves:

Wave 1: Banks, building societies, credit unions and large investment firms in March 2016 (updated July 2018)
Wave 2: Extended to insurance firms (those regulated by the FCA and PRA) in December 2018
Wave 3: The remaining financial services firms (otherwise known as 'solo-regulated firms' since they are regulated only by the FCA, not the FCA and PRA) came under the scope of this regime in December 2019.

SMCR categories
The range of firms in the third wave is very diverse. Consequently, the FCA has grouped them into three categories to ensure that the regulation is proportionate to their sizes and activities:

Core: Firms that have to comply with the baseline requirements for solo-regulated firms
Limited scope: Firms that already had exemptions under the Approved Persons Regime, and are exempt from some requirements and require fewer senior management functions
Enhanced: Firms that have extra requirements - these are large, complex firms with potential impact on consumers or markets which warrant more attention from the FCA

What's needed to comply with SMCR?

  1. Statement of Responsibilities - Set out the areas for which each Senior Manager is personally accountable
  2. Responsibilities Map - This knits together the Statement of Responsibilities
  3. Pre-approval for all Senior Managers - obtain this from the regulators before they carry out their roles
  4. Duty of Responsibility - Ensure that Senior Managers understand their responsibilities and take reasonable steps to prevent regulatory breaches in their areas of responsibility
  5. Identify all Certified Persons - These are all material risk takers
  6. Fit and Proper Assessment - Of all Certified Persons, then re-assess on an annual basis
  7. Training - Of all those who are subject to the Conduct Rules

SMCR Training

To stay on the right side of the FCA's guidance, all firms must ensure that all employees subject to the conduct rules are notified and provided with 'suitable' training.

Such training must result in employees gaining awareness and a broad understanding of all of the conduct rules, as well as a deeper understanding of the practical application of the specific rules which are relevant to their work.

To help with SMCR implementation, we have created a 3-step training model.

We provide a comprehensive set of SMCR training courses for all financial firms, including banking, insurance and solo-regulated firms.

Duty of Responsibility

Senior Managers have a statutory duty of responsibility "to take reasonable steps to prevent regulatory breaches in the areas of the firm for which they are responsible".

The FCA can take action against a Senior Manager (SM) where it can show that:
There was misconduct by the SM's firm,
At the time of the misconduct or during any part of it, the SM was responsible for the management of any of the firm's activities in relation to which the misconduct occurred, and the SM did not take such steps as a person in their position could reasonably have been expected to take to avoid the misconduct occurring or continuing.


The burden of proof for all these elements lies on the FCA. The SM does not need to show that they took reasonable steps - rather, it is for the FCA to prove that they did not. The defence against such action is if the senior manager can show that they took "the steps that are reasonable for a person in that position to take to prevent a regulatory breach from occurring".

Fitness and Propriety

The FCA must approve all senior managers, which assess whether they are fit and proper to perform the given function or responsibility.

Three key factors determine whether you are Fit and Proper:
Honesty, integrity and reputation
Competence and capability
Financial soundness


When determining a person's financial soundness, the FCA will not normally require a statement of assets or liabilities of the person. Limited financial means does not in itself affect the suitability of a person to perform an SMF.

When appointing a Senior Manager or Certified Person, firms must obtain a regulatory reference from all their past employers going back six years. This requirement also applies when appointing NEDs who are not Senior Managers.

For this purpose, firms need to retain records of disciplinary and fit and proper findings going back six years and not enter into arrangements that conflict with their disclosure obligations.

What are the SMCR Conduct Rules?

SMCR incorporates new high-level standards of behaviour that apply to almost all employees who carry out financial services activities in a firm. Some Conduct Rules apply to all employees, while others apply only to Senior Managers.

The Conduct Rules are intended to drive up standards of individual behaviour in financial services. By applying them to a broad range of staff, the FCA aims to improve individual accountability and awareness of conduct issues across firms.

Individual Conduct Rules (ICRs)
These apply to all employees, with the exception of ancillary staff, such as facility managers, personal assistants, receptionists, medical staff, IT and HR, who perform a purely non-financial service's role. These ICRs also apply to Non-Executive Directors.
ICR 1: You must act with integrity
ICR 2: You must act with due skill, care and diligence
ICR 3: You must be open and cooperative with the FCA, the PRA and other regulators
ICR 4: You must pay due regard to the interests of customers and treat them fairly
ICR 5: You must observe proper standards of market conduct

Senior Manager Conduct Rules (SMCRs)
These apply only to Senior Managers, including NEDs (SC 4 even applies to out of scope NEDs)
SC 1: You must take reasonable steps to ensure that the business of the firm for which you are responsible is controlled effectively
SC 2: You must take reasonable steps to ensure that the business of the firm for which you are responsible complies with the relevant requirements and standards of the regulatory system
SC 3: You must take reasonable steps to ensure that any delegation of your responsibilities is to an appropriate person and that you oversee the discharge of the delegated responsibility effectively
SC 4: You must disclose appropriately any information of which the FCA or PRA would reasonably expect notice

What does SMCR Best Practice look like?

Stay up to date with SMCR best practices, industry insights and key trends across regulatory compliance, digital learning, EdTech and RegTech by subscribing to the Skillcast Compliance Bulletin.

3-Step SMCR Training Model
Whether you're new to the SMCR or benchmarking existing processes, our training model will help get your compliance training on track.

FCA Conduct Rules Training Aid
Our desk aid has ten tips on how to ensure your staff fully understand and adhere to conduct rules.

FCA COCON Breaches Desk Aid
Our desk aid reminds all of your staff fully of the ten easiest ways to breach the FCA Code of Conduct.

Operational Resilience Implementation Checklist
Ensure your firm follows the FCA guidelines for a compliant operational resilience programme.

Fit and Proper Training Presentation
Firms need to assess the Fitness and Propriety (F&P) of Senior Managers and Certified Persons when they are appointed and on an ongoing basis. Our F&P training presentation uses scenarios to help explain this further.

SMCR & Non-financial Misconduct
A lack of public confidence and some damaging press stories have renewed the FCA's focus on conduct, including non-financial misconduct. Find out more, including a free training module and a desk aid.

SMCR Solo-Regulated Firms Key Questions Answered
We answer the questions every solo-regulated firm has been asking.

SMCR Insurance Firms Key Questions Answered
We also answer the questions every insurance firm has been asking.

How to Evidence your SMCR Competence
If you cannot articulate what is adequate and competent within your firm, you simply won't be able to evidence SMCR compliance when the FCA comes knocking!

How to Prevent SMCR Training Damaging Staff Motivation
SMCR created a step-change in personal accountability, causing a headache, especially when dealing with those who've never been accountable before. That's why it's important to take steps to address any issues before they spiral out of control.

 

 

What are the SMCR Functions?

The Senior Managers Regime (SMR) applies to those who perform a Senior Management Function (SMF). The FCA has classified specific functions as SMFs, so that it knows who a firm's senior decision-makers are, and to make sure that firms clearly allocate specific responsibilities to those key individuals.

In certain circumstances, firms can have more than one individual performing a single SMF. However, the FCA expects that SMFs are only shared where it is justified and appropriate.

 

The list of SMFs that apply depends on the type of firm.

5.1 Governing Function SMFs

SMF1 Chief Executive Core and Enhanced firms
SMF3 Executive Core and Enhanced firms
SMF7 Group Entity Senior Manager Enhanced firms only
SMF 9 Chair (non-executive) Core and Enhanced firms
SMF10 Chair of the Risk Committee Enhanced firms only
SMF11 Chair of the Audit Committee Enhanced firms only
SMF12 Chair of the Remuneration Committee Enhanced firms only
SMF13 Chair of the Nominations Committee Enhanced firms only
SMF14 Senior Independent Director Enhanced firms only
SMF27 Partner Core and Enhanced firms

5.2 Required Function SMFs

SMF16 Compliance oversight Core and Enhanced firms (and sole traders, authorised professional firms and oil market participants)
SMF17 Money Laundering Reporting officer Core and Enhanced firms and (and sole traders and oil market participants)
SMF18 Other Overall Responsibility Enhanced firms only
SMF29 Limited Scope Function Limited Scope firms (e.g. limited permission consumer credit firms, authorised professional firms, firms that intermediate insurance without this being principal business)

 

The Overall Responsibility requirement means that an Enhanced firm will need to make sure that every activity, business area and management function has a Senior Manager with overall responsibility for it. This is to prevent an unclear allocation of responsibilities.

Overall Responsibility means that a Senior Manager:

  • Has ultimate responsibility for managing or supervising a function
  • Briefs and reports to the governing body about their area of responsibility
  • Puts matters requiring decisions about their area of responsibility to the governing body

5.3 Systems and Control SMFs

SMF2 Chief Finance Function Enhanced firms only
SMF4 Chief Risk Function Enhanced firms only
SMF5 Head of Internal Audit Enhanced firms only
SMF24 Chief Operations Function Enhanced firms only

What are the required responsibilities under the SMCR Responsibilities

You need to be aware that there are more responsibilities for Senior Managers than just the ones found within each SMF's definition. The regulators have listed certain 'Prescribed Responsibilities' (PRs) that each firm is required to allocate between Senior Managers.

Each PR would generally be allocated to the Senior Manager who performs the SMF most closely linked to the given responsibility. PRs can be shared but not split between Senior Managers. Where responsibility is shared, it is recorded identically in each of the Senior Manager's Statements of Responsibilities.

If there is a breach, all Senior Managers sharing that responsibility may be required to demonstrate that they took reasonable steps to prevent or stop the breach.

The list of PRs that applies depends on the type of firm. Responsibilities (a), (b), (b-1), (d) below cannot be allocated to SMF 18 (Other Overall Responsibility) and responsibilities (j), (k), (l) below should be performed by a non-executive director if possible.

(a) Performance by the firm of its obligations under the SMR, including implementation and oversight All firms
(b) Performance by the firm of its obligations under the Certification Regime All firms
(b-1) Performance by the firm of its obligations in respect of notifications and training of the Conduct Rules All firms
(d) Responsibility for the firm's policies and procedures for countering the risk that the firm might be used to further financial crime All firms
(z) Responsibility for the firm's compliance with CASS (if applicable) All firms
(c) Compliance with the rules relating to the firm's Responsibilities Map Enhanced firms only
(j) Safeguarding and overseeing the independence and performance of the internal audit function (in accordance with SYSC 6.2) Enhanced firms only
(k) Safeguarding and overseeing the independence and performance of the compliance function (in accordance with SYSC 6.1) Enhanced firms only
(l) Safeguarding and overseeing the independence and performance of the risk function (in accordance with SYSC 7.1.21R and SYSC 7.1.22R) Enhanced firms only
(j -3) If the firm outsources its internal audit function, taking reasonable steps to ensure that every person involved in the performance of the service is independent from the persons who perform external audit, including supervision and management of the work of outsourced internal auditors, and management of potential conflicts of interest between the provision of external audit and internal audit services Enhanced firms only
(t) Developing and maintaining the firm's business model Enhanced firms only
(s) Managing the firm's internal stress tests and ensuring the accuracy and timeliness of information provided to the FCA for the purposes of stress-testing Enhanced firms only
(za) Responsibility for an AFM's assessments of value, independent director representation and acting in investors' best interests Authorised Fund Managers

Which courses are included in CoreCompliance?

All users get access to courses on popular compliance topics, such as: bribery, cybersecurity, equality, health and safety. In addition, you can get courses specific to your business sector.

There are over 150 courses included within the CoreCompliance package. The actual courses provided depend on the sector chosen for the subscription.

Are CoreCompliance courses only intended for use by those based in the UK?

Most of our courses are non-jurisdiction-specific and informed by global standards. However, some of them are specifically about UK law. We currently only recommend CoreCompliance outside the UK for courses on common standards. This includes Modern Slavery, Money Laundering, and Bribery.

Do the courses bookmark my progress?

Yes, all the courses have automatic bookmarking. If you close a course without completing it, you can return to where you left off or restart the course. However, if the course features a video, your progress through the video will not be bookmarked, and you'll need to start the video afresh upon your return.

What are in-depth courses?

Your subscription includes in-depth e-learning courses on bribery, money laundering, data protection, and equality. This is ideal for annual compliance training. Each course takes 30-45 minutes and provides comprehensive foundational knowledge. They can evidence that with a certificate and CPD points.

What are microlearning courses?

The CoreCompliance includes microlearning courses on most topics that you need for employee compliance training. These are typically 2-3 minutes long and illustrate the compliance topic using engaging visuals and storylines. For each course, employees can download a certificate evidencing their completion.

Can we use a Skillcast certificate to evidence training to regulators, courts, etc?

Yes, you can present a Skillcast certificate to evidence training. Skillcast can verify its validity, i.e., when and on which account the training was done, the time spent, etc. But of course, we can't prevent one person from sitting in place of another to do the training. That's up to the client company to ensure. Also, Skillcast is not an accredited certification body. Therefore, the certificates are only proof of training completion, not a legal document.

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All users in your account can see all the courses available for your business sector. You can set any of these courses as "mandatory training" for one or more users. Doing this assigns the courses to them with a deadline and sends them notification emails. If they don't complete the course within the deadline, they get reminder emails to complete the assignment.

How do I check my mandatory training?

The "Mandatory Training" box on the homepage shows the percentage of completed, incomplete, and overdue mandatory training. Select the box to access your incomplete mandatory training. The date (shown in the DD/MM/YYYY format) is your deadline for completing the course.

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Yes, you can download a course completion certificate after you've completed a course. To do this, select "Certificates" at the top of your screen, and then choose the relevant course from the list of those that you've completed.

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Select "My Profile" at the top of the screen to change your details.

Do I get a dashboard to manage my employees?

Yes, CoreCompliance provides you with an admin dashboard where you can manage and monitor your learners. It enables you to check whether your employees have completed the mandatory training you have assigned to them. You can also download a report showing the completed, pending or overdue assignments for all your users.

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All subscriptions are on an annual basis. We don't offer monthly subscriptions.

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How long do I have to wait to assign training after making the payment?

After your payment has been processed successfully, you and your employees will have immediate access to all the e-learning. You will need to add their names and email addresses to give them access.

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Can I reuse the seats of employees who have left my company?

Yes, you can free up seats by archiving users who have left your company and assigning them to others in your company.

Can I add more than 50 users to my subscription?

CoreCompliance is only available for up to 50 users. If you require more than 50 seats, you will need to upgrade to our Standard Plan. You can contact our Sales team via our website.

Can I get a refund if I terminate my subscription partway through the year?

Unfortunately, not. CoreCompliance subscriptions are for a whole year. If you terminate your subscription partway through the year, we will not renew it, but we can't give you any refunds.

Are Skillcast courses SCORM-compliant?

Yes. This means they can be delivered via the Skillcast Portal or any other SCORM-compliant Learning Management System.

What other tools are needed beyond training?

A comprehensive compliance solution often needs more than just training. Alongside e-learning, tools like declarations, surveys, and registers that track compliance tasks are usually essential. Skillcast provides full support to help you set up these additional tools.

Is our training content still compliant with the latest legislation?

  • You can check the latest course content updates in our library updates page: https://www.skillcast.com/compliance-course-library-updates
  • For major legislative changes, we:
    • Will send you email alerts to ensure you are notified
    • Offer you a free trial of newly created or updated content
    • Host webinars with compliance experts to explain the changes and how our training supports your ongoing compliance

Can you translate our content into other languages?

Yes, we offer translations in a wide range of languages. Let us know your needs, and we’ll confirm availability or work with you to plan translations for your selected modules.

How can I give employees a secure way to record suspicious activity so we can act quickly?

Our Suspicious Activity Register allows staff to log concerns or irregularities they observe, helping you detect potential issues early. The secure register can be reviewed by compliance teams, enabling prompt investigation and action.

What file types are supported by the Skillcast system?

Features

Supported file types and details

File Exchange

File types: PDF, Excel spreadsheets, Word documents, SCORM and xAPI files, and compressed zip files. Max file size: Default is 1GB, can be increased to a max of 2GB

SCORM files

Versions: SCORM 1.2, SCORM 1.2 for Moodle, SCORM 2004 2nd, 3rd and 4th Edition. Max file size: 1024MB

xAPI file

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CPD evidence

File types: Word, PDF, Excel and CSV. File size: the limit should be whatever the portal config option is set to. Servers are set to max 2GB

Policy documents

PDF or Word File size: the limit should be whatever the portal config option is set to. Servers are set to max 2GB

Offline activities evidence

File types: PDF, DOC, DOCX, XLS, XLSX, CSV, PNG, GIF, JPEG, JPG, PPTX and MSG. File size: the limit should be whatever the portal config option is set to. Servers are set to max 2GB

Client logo files

File types provided by client: EPS, PDF, AI and SVG

Registers

PDF, DOC, DOCX, XLS, XLSX, CSV, PPT, PPTX, POT, PPA, PPS, JPG, JPEG, PJEPG, PNG, BMP, GIF, MP4, MOV, WMV, CPTX, CP, TXT, ZIP and MSG files

Declarations

JPG, JPEG, PNG, GIF, XLS and XLSX files

 

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In-depth 35 Minutes All staff

Conflicts of Interest in Asset Management

The FCA outlines its expectations that asset management firms establish and maintain an effective framework to identify, control and review conflicts of interest.

Read more

In-depth 30 Minutes All staff

Understanding Modern Slavery

Bring "Understanding Modern Slavery" training to life using animation characters and storylines.

Microlearning 5 Minutes ESG All staff

Gifts and Hospitality

Bring "Gifts and Hospitality" compliance training to life using animation characters and storylines.

Microlearning 5 Minutes Bribery Prevention All staff

Spot a Phishing Attempt

Bring "Spot a Phishing Attempt" online training to life using animation characters and storylines.

Microlearning 5 Minutes Cybersecurity DORA All staff

Abuse of Position

Bring "Abuse of Position" training to life using animation characters and storylines.

Microlearning 5 Minutes Fraud Prevention All staff

Whistleblowing

Bring "Whistleblowing" online training to life using animation characters and storylines.

Microlearning 5 Minutes All staff

Money Laundering Red Flags

Bring "Money Laundering Red Flags" training to life using animation characters and storylines.

Microlearning 5 Minutes Financial Crime All staff

Business Email Compromise

Bring "Business Email Compromise" training to life using animation characters and storylines.

Microlearning 5 Minutes Cybersecurity DORA All staff

Speak Up

Bring "Speak Up" compliance training to life using animation characters and storylines.

Microlearning 5 Minutes All staff

Display Screen Equipment

Bring "Display Screen Equipment" e-learning to life using animation characters and storylines.

Microlearning 5 Minutes Health & Safety All staff

Identity Fraud

Bring "Identity Fraud" compliance training to life using animation characters and storylines.

Microlearning 5 Minutes Fraud Prevention All staff

Slips and Trips

Bring "Slips and Trips" online training to life using animation characters and storylines.

Microlearning 5 Minutes Health & Safety All staff

Manual Handling

Bring "Manual Handling" e-learning to life using animation characters and storylines.

Microlearning 5 Minutes Health & Safety All staff

Complaints Handling in Insurance

The number of complaints submitted in the Insurance sector has increased year on year in recent times in the UK.

Read more

In-depth 45 Minutes All staff

Conflicts of Interest in Insurance

A conflict of interest is where competing interests interfere with the exercising of judgement in a relationship.

Read more

In-depth 35 Minutes All staff

ICOBS - General Matters

The Insurance Conduct of Business Sourcebook (ICOBS) for general matters applies to all firms engaged in the insurance business.

Read more

In-depth 20 Minutes All staff

Insurance Distribution Directive (IDD)

As it does with any new legislation, the EU Commission conducted a post-implementation check on how the IMD was bedding in, and this review reached the conclusion that there was a need to review and recast the Directive.

Read more

In-depth 45 Minutes All staff

Treating Customers Fairly in Insurance

Treating Customers Fairly (TCF) applies to firms in the Insurance industry.

Read more

In-depth 45 Minutes All staff

Modern Slavery

Modern slavery is a serious crime with harsh penalties.

Express 15 Minutes ESG All staff

Records Management

Records management refers to employees' creation, storage, archiving, and disposal of business records.

Express 20 Minutes Cybersecurity DORA All staff

Slips and Trips

Educate your staff on the controls that your Company has in place and what they should do to prevent slips and trips at work.

Express 20 Minutes Health & Safety All staff

Mental Health at Work for Managers

Stress, anxiety and depression are serious health hazards in the workplace.

Read more

In-depth 20 Minutes Health & Safety Managers

First Aid Awareness

Regardless of whether an injury or illness has been caused by work, it is important that employees receive immediate support.

Read more

In-depth 40 Minutes Health & Safety All staff

General Office Hygiene

Educate your staff on general office hygiene protocols to reduce common viruses and infections from spreading at the workplace.

In-depth 20 Minutes Health & Safety All staff

Principles for Businesses

The FCA's Principles for Businesses apply to all financial services firms in the UK regulatory system.

Read more

In-depth 20 Minutes All staff

Ethical Standards in Finance and Investment

The FCA's ethical standards apply to individuals in finance and investment.

Read more

In-depth 40 Minutes Financial Crime All staff

Training and Competence

Training and Competence (T&C) forms an important part of UK regulations under the FCA.

Read more

In-depth 30 Minutes Financial Crime All staff

COBS - Client Communications and Financial Promotions

The Conduct of Business Sourcebook (COBS) applies to financial firms in the UK that deal with client investments.

Read more

In-depth 20 Minutes All staff

Understanding Conflicts of Interest

A conflict of interest is where competing interests interfere with the exercising of judgement in a relationship.

Microlearning 5 Minutes ESG All staff

Foreign Agent Bribery Risk

Bring "Foreign Agent Bribery Risk" compliance training to life using animation characters and storylines.

Microlearning 5 Minutes Bribery Prevention All staff

Compliments vs Sexual Harassment

Bring "Compliments vs Sexual Harassment" compliance training to life using animation characters and storylines.

Microlearning 5 Minutes Preventing Harassment All staff

Failing to Disclose Information

Bring "Failing to Disclose Information" compliance training to life using animation characters and storylines.

Microlearning 5 Minutes Fraud Prevention All staff

Targets of Sexual Harassment

Bring "Targets of Sexual Harassment" online training to life using animation characters and storylines.

Microlearning 5 Minutes Preventing Harassment All staff

Forced Labour Indicators

Bring "Forced Labour Indicators" online compliance training to life using animation characters and storylines.

Microlearning 5 Minutes ESG All staff

Interacting on Social Media

Bring "Interacting on Social Media" e-learning to life using animation characters and storylines.

Microlearning 5 Minutes ESG All staff

Dealing With Stress at Work

Bring "Dealing With Stress at Work" online training to life using animation characters and storylines.

Microlearning 5 Minutes All staff

Deepfake Awareness

Bring "Deepfake Awareness" compliance training to life using animation characters and storylines.

Microlearning 5 Minutes Cybersecurity DORA All staff

Horizontal Agreements

Bring "Horizontal Agreements" e-learning to life using animation characters and storylines.

Microlearning 5 Minutes All staff

The Three Stages of Money Laundering

Bring "The Three Stages of Money Laundering" e-learning to life using animation characters and storylines.

Microlearning 5 Minutes Financial Crime All staff

Common Cyber Threats

Bring "Common Cyber Threats" online training to life using animation characters and storylines.

Microlearning 5 Minutes Cybersecurity DORA All staff

Preventing Tipping Off

Bring "Preventing Tipping Off" e-learning to life using animation characters and storylines.

Microlearning 5 Minutes Financial Crime All staff

Personal Data Breaches

Bring "Personal Data Breaches" online training to life using animation characters and storylines.

Microlearning 5 Minutes Data Protection (GDPR) All staff

Understanding Sexual Harassment

Bring "Understanding Sexual Harassment" online learning to life using animation characters and storylines.

Microlearning 5 Minutes Preventing Harassment All staff

Understanding Facilitation Payments

Bring "Understanding Facilitation Payments" e-learning to life using animation characters and storylines.

Microlearning 5 Minutes Bribery Prevention All staff

Data Protection Impact Assessments

Bring "Data Protection Impact Assessments" online training to life using animation characters and storylines.

Microlearning 5 Minutes Data Protection (GDPR) All staff

Zero Trust Cybersecurity

Bring "Zero Trust Cybersecurity" online training to life using animation characters and storylines.

Microlearning 5 Minutes Cybersecurity DORA All staff

Introduction to the Senior Managers and Certification Regime (SM&CR)

The UK's financial services sector has been rocked over the past decade by scandals ranging from misselling to market manipulation.

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Express 10 Minutes SMCR All staff

COBS - Client Categorisation

The Conduct of Business Sourcebook (COBS) applies to financial firms in the UK that deal with client investments.

Read more

In-depth 20 Minutes Financial Crime All staff

Information Barriers

The flow of information in financial firms needs monitoring between businesses involved with private and public side activities.

Read more

In-depth 45 Minutes Financial Crime All staff

Senior Management Arrangements Systems and Controls

The Senior Management Arrangements Systems and Controls (SYSC) Sourcebook apply to authorised financial services firms.

Read more

In-depth 25 Minutes Financial Crime Managers

Overview of SM&CR for Dual Regulated Firms

Our SMCR Overview training course will help your employees understand the key steps needed to comply with the regime.

Read more

In-depth 30 Minutes SMCR All staff

Fit and Proper Assessments

In order to perform a Senior Management Function (SMF), Senior Managers need to be approved by the FCA and, for dual regulated firms, the PRA.

Read more

Express 20 Minutes SMCR All staff

Conduct Rules for Senior Managers at Insurance Firms

Under the Senior Managers Regime, all senior managers must comply with the FCA's six Individual Conduct Rules (ICRs) and four Senior Managers Rules (SMRs).

Read more

In-depth 60 Minutes SMCR All staff

SMCR & Non-financial Misconduct

Non-financial misconduct is behaviour that is unrelated to regulated activities, including serious offences such as harassment, bullying, sexual discrimination and sexual misconduct The FCA has indicated it is prepared to consider non-financial misconduct when assessing fitness and propriety.

Read more

Express 15 Minutes SMCR All staff

Conduct Rules for Senior Managers at FCA Solo Firms

Under the Senior Managers Regime, all senior managers must comply with the FCA's six Individual Conduct Rules (ICRs) and four Senior Managers Rules (SMRs).

Read more

In-depth 60 Minutes SMCR Managers

Bring Your Own Device Security

Bring "Bring Your Own Device Security" training to life using animation characters and storylines.

Microlearning 5 Minutes DORA Cybersecurity All staff

Device Hygiene

Bring "Device Hygiene" training to life using animation characters and storylines.

Microlearning 5 Minutes DORA Cybersecurity All staff

Malware

Bring "Malware" training to life using animation characters and storylines.

Microlearning 5 Minutes DORA Cybersecurity All staff

Ransomware

Bring "Ransomware" training to life using animation characters and storylines.

Microlearning 5 Minutes Cybersecurity DORA All staff

Smishing

Bring "Smishing" training to life using animation characters and storylines.

Microlearning 5 Minutes Cybersecurity DORA All staff

Spear Phishing

Bring "Spear Phishing" training to life using animation characters and storylines.

Microlearning 5 Minutes Cybersecurity DORA All staff

Video Conferencing

Bring "Video Conferencing" training to life using animation characters and storylines.

Microlearning 5 Minutes Cybersecurity DORA All staff

Vishing

Bring "Vishing" training to life using animation characters and storylines.

Microlearning 5 Minutes Cybersecurity DORA All staff

Creating Strong Passwords

Bring "Creating Strong Passwords" training to life using animation characters and storylines.

Microlearning 5 Minutes Cybersecurity DORA All staff

Multi-factor Authentication

Bring "Multi-factor Authentication" training to life using animation characters and storylines.

Microlearning 5 Minutes Cybersecurity DORA All staff

Reacting to Password Breaches

Bring "Reacting to Password Breaches" training to life using animation characters and storylines.

Microlearning 5 Minutes Cybersecurity DORA All staff

Information Classification

Bring "Information Classification" training to life using animation characters and storylines.

Microlearning 5 Minutes Cybersecurity DORA All staff

Information Security on the Move

Bring "Information Security on the Move" training to life using animation characters and storylines.

Microlearning 5 Minutes Cybersecurity DORA All staff

Tailgating and Piggybacking

Bring "Tailgating and Piggybacking" training to life using animation characters and storylines.

Microlearning 5 Minutes Cybersecurity DORA All staff

Secure Web Browsing

Bring "Secure Web Browsing" training to life using animation characters and storylines.

Microlearning 5 Minutes Cybersecurity DORA All staff

Supply Chain Cybersecurity

Bring "Supply chain cybersecurity" training to life using animation characters and storylines.

Microlearning 5 Minutes Cybersecurity DORA All staff

Transferring Information Securely

Bring "Transferring Information Securely" training to life using animation characters and storylines.

Microlearning 5 Minutes Cybersecurity DORA All staff

Using Wi-Fi safely

Bring "Using Wi-Fi safely" training to life using animation characters and storylines.

Microlearning 5 Minutes Cybersecurity DORA All staff

Advising Customers on Cybersecurity

Bring "Advising customers on cybersecurity" training to life using animation characters and storylines.

Microlearning 5 Minutes Cybersecurity DORA All staff

CEO Fraud

Bring "CEO fraud" training to life using animation characters and storylines.

Microlearning 5 Minutes Cybersecurity DORA All staff

Guide to Secure Remote Working

Bring "Guide to Secure Remote Working" training to life using animation characters and storylines.

Microlearning 5 Minutes Cybersecurity DORA All staff

Think Before You Click

Bring "Think before you click" training to life using animation characters and storylines.

Microlearning 5 Minutes Cybersecurity DORA All staff

Bribery Offences and Penalties

Bribery is a serious offence that carries severe consequences for individuals and companies.

Microlearning 5 Minutes Bribery Prevention All staff

Corrupt Hiring Practices

Bribery risks in hiring arise when jobs or internships are offered in exchange for business favours or political influence.

Microlearning 5 Minutes Bribery Prevention All staff

Controllers and Processors

The differences between data controllers and data processors are crucial to understanding data protection obligations.

Microlearning 5 Minutes Data Protection (GDPR) All staff

Special Category Data

In many workplaces, sensitive data, including special category data, is collected and requires extra care.

Microlearning 5 Minutes Data Protection (GDPR) All staff

GDPR Principle 1

The first principle of the GDPR requires that personal data must be processed lawfully, fairly and transparently.

Microlearning 5 Minutes Data Protection (GDPR) All staff

GDPR Principle 2

The second principle of the GDPR, purpose limitation, requires that personal data be collected for specified, explicit and legitimate purposes.

Microlearning 5 Minutes Data Protection (GDPR) All staff

GDPR Principle 3

The third principle of the GDPR, data minimisation, requires that personal data collected must be adequate, relevant and limited to what is necessary.

Microlearning 5 Minutes Data Protection (GDPR) All staff

GDPR Principle 4

The fourth principle of the GDPR, accuracy, requires that personal data must be correct, up to date and not misleading.

Microlearning 5 Minutes Data Protection (GDPR) All staff

GDPR Principle 5

The fifth principle of the GDPR, storage limitation, requires that personal data be retained only for as long as necessary for its intended purpose.

Microlearning 5 Minutes Data Protection (GDPR) All staff

GDPR Principle 6

The sixth principle of the GDPR, integrity and confidentiality, requires that personal data be protected against unauthorised access, loss or damage.

Microlearning 5 Minutes Data Protection (GDPR) All staff

GDPR Principle 7

The seventh principle of the GDPR, accountability, requires organisations to take responsibility for compliance and demonstrate good governance in data protection.

Microlearning 5 Minutes Data Protection (GDPR) All staff

GDPR and Consent

Consent is one of the six lawful bases for processing personal data under the GDPR, requiring individuals to give clear, informed and voluntary agreement.

Microlearning 5 Minutes Data Protection (GDPR) All staff

GDPR Lawful Bases for Processing

The General Data Protection Regulation (GDPR) requires organisations to have a lawful basis for processing personal data, chosen from six legal grounds.

Microlearning 5 Minutes Data Protection (GDPR) All staff

GDPR Legitimate Interests

Legitimate interests is a flexible lawful basis for processing personal data, but it requires balancing business needs with individuals' rights.

Microlearning 5 Minutes Data Protection (GDPR) All staff

GDPR International Transfers

The international transfer of personal data is restricted to ensure individuals' privacy rights are protected when data is sent abroad.

Microlearning 5 Minutes Data Protection (GDPR) All staff

GDPR Individual Rights

The General Data Protection Regulation (GDPR) grants individuals eight specific rights over their personal data, ensuring transparency and control.

Microlearning 5 Minutes Data Protection (GDPR) All staff

GDPR Subject Access Requests

Individuals have the right to access their personal data and organisations must respond to subject access requests (SARs) within legal timeframes.

Microlearning 5 Minutes Data Protection (GDPR) All staff

Cartels

Bring "Cartels" training to life using animation characters and storylines.

Microlearning 5 Minutes All staff

Trade Association Red Flags

Bring "Trade Association Red Flags" training to life using animation characters and storylines.

Microlearning 5 Minutes All staff

Vertical Agreements

Bring "Vertical Agreements" training to life using animation characters and storylines.

Microlearning 5 Minutes All staff

Online Selling Restrictions

Bring "Online Selling Restrictions" training to life using animation characters and storylines.

Microlearning 5 Minutes All staff

Resale Price Maintenance

Bring "Resale Price Maintenance" training to life using animation characters and storylines.

Microlearning 5 Minutes All staff

Tying and Bundling

Bring "Tying and Bundling" training to life using animation characters and storylines.

Microlearning 5 Minutes All staff

Dawn Raids

Bring "Dawn Raids" training to life using animation characters and storylines.

Microlearning 5 Minutes All staff

Abuse of Dominant Position

Bring "Abuse of Dominant Position" training to life using animation characters and storylines.

Microlearning 5 Minutes All staff

Risks in the Use of AI

Bring "Risks in the Use of AI" training to life using animation characters and storylines.

Microlearning 5 Minutes All staff

Stereotyping

Bring "Stereotyping" training to life using animation characters and storylines.

Microlearning 5 Minutes All staff

Understanding ESG

Bring "Understanding ESG" training to life using animation characters and storylines.

Microlearning 5 Minutes ESG All staff

Identifying Who is Vulnerable

Bring "Identifying Who is Vulnerable" training to life using animation characters and storylines.

Microlearning 5 Minutes ESG All staff

Screening Employees in Safeguarding Roles

Bring "Screening Employees in Safeguarding Roles" training to life using animation characters and storylines.

Microlearning 5 Minutes ESG All staff

Terrorist Financing Red Flags

Bring "Terrorist Financing Red Flags" training to life using animation characters and storylines.

Microlearning 5 Minutes Financial Crime All staff

Understanding Terrorist Financing

Bring "Understanding Terrorist Financing" training to life using animation characters and storylines.

Microlearning 5 Minutes Financial Crime All staff

Enhanced Customer Due Diligence

Bring "Enhanced Customer Due Diligence" training to life using animation characters and storylines.

Microlearning 5 Minutes Financial Crime All staff

Politically Exposed Persons

Bring "Politically Exposed Persons" training to life using animation characters and storylines.

Microlearning 5 Minutes Financial Crime All staff

Suspicious Activity Reporting

Bring "Suspicious Activity Reporting" training to life using animation characters and storylines.

Microlearning 5 Minutes Financial Crime All staff

Unexplained Wealth Orders

Bring "Unexplained Wealth Orders" training to life using animation characters and storylines.

Microlearning 5 Minutes Financial Crime All staff

Supplier Fraud

Bring "Supplier Fraud" training to life using animation characters and storylines.

Microlearning 5 Minutes Fraud Prevention All staff

Authorised Push Payment Fraud

Bring "Authorised Push Payment Fraud" training to life using animation characters and storylines.

Microlearning 5 Minutes Fraud Prevention All staff

False Representation

Bring "False Representation" training to life using animation characters and storylines.

Microlearning 5 Minutes Fraud Prevention All staff

Employee Fraud and Insider Threats

Bring "Employee Fraud and Insider Threats" training to life using animation characters and storylines.

Microlearning 5 Minutes Fraud Prevention All staff

Fraud Offences and Penalties

Bring "Fraud Offences and Penalties" training to life using animation characters and storylines.

Microlearning 5 Minutes Fraud Prevention All staff

Mandatory Leave

Bring "Mandatory Leave" training to life using animation characters and storylines.

Microlearning 5 Minutes Fraud Prevention All staff

The Fraud Triangle

Fraud is often committed by ordinary people who find themselves in difficult situations and make poor choices.

Microlearning 5 Minutes Fraud Prevention All staff

10 Essential Office Hygiene Practices

Bring "10 Essential Office Hygiene Practices" training to life using animation characters and storylines.

Microlearning 5 Minutes Health & Safety All staff

10 Steps to Healthy Working

Bring "10 Steps to Healthy Working" training to life using animation characters and storylines.

Microlearning 5 Minutes Health & Safety All staff

Fire

Bring "Fire" training to life using animation characters and storylines.

Microlearning 5 Minutes Health & Safety All staff

Personal Protective Equipment

Bring "Personal Protective Equipment" training to life using animation characters and storylines.

Microlearning 5 Minutes Health & Safety All staff

Transport

Bring "Transport" training to life using animation characters and storylines.

Microlearning 5 Minutes Health & Safety All staff

Work Equipment

Bring "Work Equipment" training to life using animation characters and storylines.

Microlearning 5 Minutes Health & Safety All staff

Menopause Awareness

Bring "Menopause Awareness" training to life using animation characters and storylines.

Microlearning 5 Minutes Health & Safety All staff

Mental Health at Work

Bring "Mental Health at Work" training to life using animation characters and storylines.

Microlearning 5 Minutes Health & Safety All staff

New and Expectant Mothers at Work

Bring "New and Expectant Mothers at Work" training to life using animation characters and storylines.

Microlearning 5 Minutes Health & Safety All staff

Understanding Intellectual Property

Bring "Understanding Intellectual Property" training to life using animation characters and storylines.

Microlearning 5 Minutes All staff

Don't Deal with Inside Information

Bring "Don't Deal with Inside Information" training to life using animation characters and storylines.

Microlearning 5 Minutes All staff

Understanding Inside Information

Bring "Understanding Inside Information" training to life using animation characters and storylines.

Microlearning 5 Minutes All staff

Understanding Market Abuse

Bring "Understanding Market Abuse" training to life using animation characters and storylines.

Microlearning 5 Minutes All staff

Unlawful Disclosure of Inside Information

Bring "Unlawful Disclosure of Inside Information" training to life using animation characters and storylines.

Microlearning 5 Minutes All staff

The Three Characteristics of Harassment

Bring "The Three Characteristics of Harassment" training to life using animation characters and storylines.

Microlearning 5 Minutes All staff

Minimum Disclosure Rules

Bring "Minimum Disclosure Rules" training to life using animation characters and storylines.

Microlearning 5 Minutes All staff

Unwanted Behaviour of a Sexual Nature

Bring "Unwanted Behaviour of a Sexual Nature" training to life using animation characters and storylines.

Microlearning 5 Minutes Preventing Harassment All staff

The 4D Bystander Intervention Model

Bring "The 4D Bystander Intervention Model" training to life using animation characters and storylines.

Microlearning 5 Minutes All staff

Understanding Tax Evasion

Bring "Understanding Tax Evasion" training to life using animation characters and storylines.

Microlearning 5 Minutes All staff

Corrupt Hiring Practices

Diligence in hiring new employees is no longer limited to education, experience and references.

Read more

Express 10 Minutes Bribery Prevention All staff

To Pay or Not To Pay?

Small facilitation payments made to officials for expediting a permit or approval might seem harmless, but they are illegal and could land your employees in prison.

Express 10 Minutes Bribery Prevention All staff

Non-Financial Misconduct

Non-financial misconduct is behaviour that is unrelated to regulated activities, including serious offences such as harassment, bullying, sexual discrimination and sexual misconduct.

Express 15 Minutes All staff

CASS 10 - CASS Resolution Pack

A CASS Resolution Pack (RP) contains a specific set of documents that helps speed up client money and assets return if a firm fails.

In-depth 25 Minutes All staff

CASS 6 - Custody Rules

The rules and guidance in CASS 6 apply to a firm when it is safeguarding and administering custody assets.

In-depth 30 Minutes All staff

CASS 7 and 7A - Client Money Rules and Client Money Distribution and Transfer

The rules and guidance in CASS aim to achieve the FCA's objective of ensuring that consumers are adequately protected.

In-depth 50 Minutes All staff

CASS 8 - Mandates

Under the requirements of CASS 8, you must understand what a mandate is and how to deal with them.

In-depth 30 Minutes All staff

CASS 9 - Information to Clients

Under the requirements of CASS 9, you are required to pass on certain information to clients, particularly where prime brokers, custody assets and client money are concerned.

In-depth 25 Minutes All staff

COBS - Appropriateness

The FCA's Conduct of Business Sourcebook (COBS) applies to financial firms that deal with customer investments on an execution-only basis.

In-depth 20 Minutes All staff

COBS - Client Communications High Risk Investments

The Conduct of Business Sourcebook (COBS) rules that relate to client communication apply to all promotional communications that investment firms have with their clients and prospects.

In-depth 20 Minutes All staff

COBS - Suitability

The FCA Conduct of Business Sourcebook (COBS) applies to finance and investment firms in the UK.

In-depth 20 Minutes All staff

Control of Substances Hazardous to Health (COSHH)

Educate your staff on the risks of using hazardous substances as well as what they should do to prevent accidents and incidents when using them.

In-depth 30 Minutes Health & Safety All staff

Electricity

Educate your staff on the controls your Company has in place and what they should do to stay safe and manage the risks associated with electricity and electrical devices.

In-depth 30 Minutes All staff

Fire Warden Training

Gain a comprehensive understanding of your role as a fire warden, which encompasses not only how to respond effectively in the event of a fire but also proactive measures to prevent such incidents from occurring.

In-depth 30 Minutes Health & Safety All staff

Lone Working

Lone working offers greater flexibility, autonomy and creates a broader talent pool for businesses.

In-depth 25 Minutes Health & Safety All staff

New and Expectant Mothers at Work

Being a new or expectant mother is an exciting time.

In-depth 15 Minutes Health & Safety All staff

Noise

Educate your staff on the controls that your Company has in place and what they should do to prevent exposure to noise at work.

In-depth 25 Minutes Health & Safety All staff

Packaged Retail and Insurance-based Investment Products (PRIIPs) Regulation in Finance

The Packaged Retail and Insurance-based Investment Product (PRIIP) Regulation affects retail investors who need to understand the complexities of these products.

In-depth 30 Minutes All staff

Records Management

Records management involves the process of how employees create, store, archive and dispose of business records.

In-depth 20 Minutes DORA All staff

Responsible Use of Artificial Intelligence

Companies are committed to ensuring the ethical and responsible use of AI technologies.

Read more

In-depth 30 Minutes Cybersecurity All staff

Sustainability Disclosure Requirements (SDR) and Investment Labels

The introduction of sustainability rules aims to enhance the transparency and credibility of financial products with sustainability objectives.

In-depth 30 Minutes All staff

Swap Execution Facilities (SEFs) and Designated Contract Markets (DCMs)

Swap Execution Facilities (SEFs) and Designated Contract Markets (DCMs) exist as part of the US response to the financial crisis.

In-depth 25 Minutes All staff

Understanding Failure to Prevent Fraud (FTPF)

Learn how the Failure to Prevent Fraud offence works, what it means for our Company, and how you can help reduce risk by recognising fraud and supporting prevention procedures.

Read more

In-depth 30 Minutes Failure to Prevent Fraud All staff