FCA compliance training for small firms
FCA regulations and training for small UK firms
Each guide below takes one Financial Conduct Authority (FCA) requirement and explains it for a small regulated firm without a compliance team: who it applies to, what your firm has to be able to evidence, and where staff training fits. Every guide is written from the FCA Handbook or the legislation, with the sources linked.
Guides by regulation
Choose the requirement you are working on.
SM&CR for small UK firms
The three parts of the Senior Managers and Certification Regime (SM&CR), which category your firm is in, what you have to be able to evidence, the 2026 changes, and training by role.
Read the SM&CR guideAnti-money laundering (AML) training
Which firms the Money Laundering Regulations 2017 reach, what the training duty asks, who needs which training, and the records to keep. Financial sanctions are covered too.
Read the AML guideNon-financial misconduct
How the FCA rules in force since 1 September 2026 bring serious bullying, harassment and violence within the Conduct Rules, and what a small firm should be able to show it has done.
Read the non-financial misconduct guideHow these guides are written
Each one follows the same rules, so you can rely on them in the same way.
Sourced to the rule
Statements about what applies to whom link to the FCA Handbook, the legislation or the FCA's own pages.
Clear about where training fits
Training is one part of the evidence. Each guide separates what a course can support from what your firm writes and keeps itself.
Written for firms without a compliance team
Plain language, the obligations your firm owns, and the people who usually hold them in a small firm.
Try the courses behind these guides
Start a 30-day free trial with no card. You can browse the whole collection and start up to five courses yourself. Assigning courses to your team and keeping their completion records come with your CoreCompliance subscription, from £349 a year for a single user, excluding value added tax (VAT).