Online Courses Professional Development Accounting Courses Introduction to the Financial Conduct Rules

Introduction to the Financial Conduct Rules

Created by: Open eLMS

5.0 1,171 views Prime

Last Updated 03/2025

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What you'll learn

Three Elements of SM&CR

Individual Financial Conduct Rules

Financial Conduct Authority (FCA)

Navigating the SM&CR

Responsibilities under the SM&CR

SM&CR Compliance

Skills covered in this course

financial business customers rules integrity elearning

If you work in UK financial services, the Senior Managers and Certification Regime (SM&CR) isn't optional reading. This course introduces the Financial Conduct Rules that aim to keep the financial environment fair and transparent for businesses and consumers alike.

In around 25 minutes it covers the three elements of the SM&CR, the individual financial conduct rules, the role of the Financial Conduct Authority (FCA), how to navigate the regime, and what your responsibilities and compliance obligations under it actually look like day to day.

Designed for staff at regulated firms who need a working understanding of the conduct rules — not legal theory, but what the rules expect of them personally.

System Requirements

See System Requirements in the Coggno Knowledge Base

Author

Open eLMS

392 Courses

Open eLMS offers engaging eLearning programs in HR Compliance, Workplace Safety, and Professional Development. Their catalog includes training in leadership, customer service, and regulatory compliance designed for modern organizations. With a focus on usability and interactive design, Open eLMS courses make learning intuitive and impactful. Companies rely on their content to improve employee performance while meeting compliance standards. Open eLMS bridges compliance, soft skills, and management training in one accessible library.

Frequently Asked Questions

This course is designed for employees who need to complete Introduction to the Financial Conduct Rules training

Yes. This course is designed to meet applicable federal requirements and commonly mandated state standards. Always confirm specific state or industry requirements with your local regulations.

The course takes approximately 25 minutes to complete and can be paused and resumed at any time.

Yes. Learners receive a downloadable certificate upon successful completion, which can be used for compliance records and audits.

Yes. You can assign this course to individuals or groups using Coggno’s LMS, or purchase multiple seats for your team.

Yes. This course can be exported for delivery in most learning management systems (SCORM compatible).

Yes. The course is fully self-paced and available 24/7.

Yes. This course includes a knowledge check to reinforce learning and verify completion.

Learners have lifetime access from the date of purchase.

Yes. A preview is available so you can review the course format and content before purchasing.

Yes. Content is reviewed and updated as regulations and best practices change.

Yes. This course is available for free with an active Prime Subscription.

Yes. Refund requests can be submitted within 30 days of purchase.

Helping businesses stay compliant since 2007

You can also gain access to this course with a Coggno Prime Subscription

Price per license

$20.25

No. of licenses

Total

$20.25

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Introduction to the Financial Conduct Rules

What you'll learn

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