Start Free Trial

Codes of Conduct and Individual Accountability training

Five microlessons on codes of conduct and individual accountability in financial services: the conduct standards for all staff, senior manager duties and the cost of getting it wrong, with situational tests and a certificate of completion.

Start free trial
G24.6Capterra4.7
Codes of Conduct and Individual Accountability in Financial Services course preview
5Short, TikTok-style microlessonsIn the browser or the iOS and Android apps

Compliance teams that chose 5Mins

Read their stories
Collingwood nsave ICAB Delamode LOQBOX Kennedys GSK Student Cribs Millennium Hotels Paris Baguette
  • 2Assessments
  • 5Microlessons
  • IncludedCertificate of completion
About this course

What the Codes of Conduct and Individual Accountability course covers

This course covers codes of conduct and individual accountability in financial services in five microlessons. Since the UK's SMCR launched in 2016, regulators around the world have introduced similar regimes. The course covers the conduct standards every employee must meet, the extra duties and reasonable steps test for senior managers, the consequences of non-compliance and the monitoring that sustains a culture of accountability, wherever you work.

Learning outcomes

What your people will be able to do

  • Explain the main individual accountability regimes and personal liabilities across key jurisdictions
  • Apply individual conduct standards to identify, report and manage conflicts and insider risks
  • Take reasonable steps as a senior manager, with documented oversight, delegation and escalation
  • Assess the regulatory, legal and reputational consequences of non-compliance
  • Design compliance monitoring using audits, data analytics and protected reporting channels
  • Document breaches, find root causes and escalate on time
Course contents

5 microlessons

Each microlesson is a short, TikTok-style video lesson, with knowledge checks along the way.

1Introduction to Codes of Conduct and Individual Accountability
2Individual Conduct Standards
3Senior Manager and Executive Accountability
4Consequences of Non-Compliance
5Ongoing Compliance and Monitoring

  1. Introduction to Codes of Conduct and Individual Accountability: Why regulators introduced individual accountability regimes, starting with the UK's SMCR.
  2. Individual Conduct Standards: The conduct standards every employee must meet, including conflicts and insider risks.
  3. Senior Manager and Executive Accountability: The extra duties and reasonable steps test that senior managers face.
  4. Consequences of Non-Compliance: The regulatory, legal and reputational consequences of a breach.
  5. Ongoing Compliance and Monitoring: Monitoring, speak-up channels and remediation that sustain accountability.
A 5Mins certificate of completion for Codes of Conduct and Individual Accountability in Financial Services, lying on a desk next to a laptop
Certificate

A certificate for every learner who completes it

Learners finish every microlesson and complete the assessments. 5Mins then issues a certificate of completion for Codes of Conduct and Individual Accountability in Financial Services.

  • Certificates and e-signatures stored against each learner
  • Audit-ready records, ready whenever an auditor asks
  • Completion shows on the Compliance Dashboard in real time
Audience and regulation

Who it's for and the law it covers

Who it's for

  • Employees in banks, asset managers, insurers and fintechs in any jurisdiction
  • Senior managers and executives with personal accountability
  • Compliance teams with staff across more than one country

Laws covered

  • Individual accountability regimes. The course starts with the UK's Senior Managers and Certification Regime (SM&CR) and looks at the similar regimes regulators have introduced since.
  • Your local rules. Exact duties depend on where you work and your regulator. Your firm's own code of conduct sets the detail.
How it runs in 5Mins

Assign it once, then let 5Mins do the chasing

Every course in the 5Mins library runs on the same zero-admin engine.

  • EnrollAuto-enroll

    Enroll people automatically from your HR system, with 100+ HRIS platforms supported.

  • RemindReminders

    Nudges by email, Slack, Microsoft Teams and push until the course is done.

  • RepeatRecurrence

    Set the course to repeat, for example every 12 months, and 5Mins re-enrolls people for you.

  • CertifyCertificates

    Certificates and e-signatures are issued and stored for every completion.

  • ProveAudit-ready records

    See who is complete, at risk or overdue on the Compliance Dashboard, and prove it any time.

Customer stories

Compliance teams that swapped chasing for results

Compliance, HR and L&D leaders on what changed when they moved their training to 5Mins. Pick a team to see what changed.

ComplianceCompliance Training Insurance, 205 colleagues 100%

compliance completion and pass rate since go-live

  • ~1 day saved on each compliance course (HR estimate)
  • Automated reminders and reporting

Since go-live, our compliance completion and pass rates are 100%, and it's the quickest we've ever got there. Automated reminders and reporting save us about a day per course.

Laura ChappellLaura ChappellHR Director, Collingwood
Read the Collingwood story
ComplianceCompliance Training Insurance and emergency accommodation 87%

less session time, from 2.5-3 hour sessions to modules of 25 minutes at most

  • 12 monthly sessions a year, up from 3-4
  • 95% content creation time saved

Our compliance sessions used to be two and a half to three hours in a room, and we could fit in three or four a year. Now we cover one topic a month, and I can see exactly what people are retaining.

Lucy WybornLucy WybornDirector of Learning and Development, ICAB
Read the ICAB story
ComplianceCompliance Training Legal services 80%

completion on mandatory training, up from 20%

  • Mobile microlessons finished between calls
  • Manager view of each team's progress

We were sitting at 20% completion on our mandatory training. We're now at 80%. People finish short lessons between calls, on mobile, and managers can see where their teams are, so chasing completion is no longer a one-person job.

Jamie WaltonJamie WaltonGroup Learning and Development Officer, Winn Solicitors
See more customer stories
ComplianceCompliance Training Fintech and digital banking On demand

training log showing who did what, when, and the pass rate

  • Any device phone or laptop, at their own pace
  • Rolling refreshers through the year

When I engage with the FCA, I can show that every team has had training tailored to their role, that it's up to date, and that it runs throughout the year, with a full log of who's done what.

Abdul GofurAbdul GofurHead of Compliance & Anti-Financial Crime, nsave
Read the nsave story
★ Free sample lesson

See 5Mins in action with a free sample lesson

Interested in Codes of Conduct and Individual Accountability training? Request a free sample lesson, book a short demo with our team, and we'll share your sample lessons after the call.

  • Real microlessons from our library
  • A short demo with our team
  • No card needed

Get a free sample lesson

Use your work email so we can arrange your demo.

We'll use your details to arrange your demo and contact you about 5Mins. See our privacy policy.

Free course catalogues

Take the catalogues with you

Free PDF catalogues to share with your compliance lead, your managers or your board.

Global Financial Compliance Catalogue cover
Financial services

Global Financial Compliance Catalogue

Specialized compliance training for financial services teams working across borders, covering AML, risk management, customer due diligence and international regulations.

Global Compliance Catalogue cover
Compliance

Global Compliance Catalogue

Stay compliant across every market you operate in, with regulatory training covering GDPR, data protection, workplace safety and more.

Browse all course catalogues

Your questions answered

Questions about Codes of Conduct and Individual Accountability training

How long is the Codes of Conduct and Individual Accountability course?

It's made up of 5 microlessons, each under 5 minutes. Learners can finish it in one sitting or spread it over a few days, and 5Mins sends reminders until it is done.

Is there a certificate?

Yes. Learners get a certificate of completion once they finish every microlesson and complete both situational tests. The record is stored in 5Mins for audits.

Is this course for one country?

No. It covers the conduct standards and accountability principles shared by regimes in many financial centers, starting with the UK's SM&CR. Your local rules set the exact requirements. For UK firms, pair it with FCA Code of Conduct (UK).

Who should take this course?

Employees and senior managers in financial services firms, especially groups with teams in more than one country.

How often should staff take this training?

Many firms refresh conduct training every year. In 5Mins you can set the course to repeat, for example every 12 months, so refreshers happen automatically.

Can I try the course first?

Yes. Request a free sample lesson and book a short demo with our team. After your demo, we'll share sample lessons with you so you can see the format for yourself.

Keep exploring

Related courses

Financial Services & Regulation

Conduct and Ethics in Financial Services (Global)

5 microlessons View course
Financial Services & Regulation

Conduct and Ethics in Financial Services (EU)

5 microlessons View course
Financial Services & Regulation

FCA Code of Conduct (UK)

5 microlessons View course
Financial Services & Regulation

Conduct Rules & SM&CR - Certified Staff (UK)

5 microlessons View course
Financial Services & Regulation

Conduct Rules & SM&CR - Senior Managers (UK)

5 microlessons View course
Financial Services & Regulation

Conflict of Interest In Financial Services (UK)

6 microlessons View course
All compliance micro coursesBrowse the course collection
Explore 5Mins

More free resources from 5Mins

Course collection5,000+ ready-made micro courses.Explore Course cataloguesFree PDFs to share with your team.Explore Customer success storiesFilms and case studies by industry.Explore WebinarsHR Declassified, AI Declassified and Inside 5Mins.Explore Templates and guidesSkills matrix templates and how-to guides.Explore BlogGuides on compliance, AI and leadership.Explore
Get started

Give your people compliance training they'll actually enjoy

Assign Codes of Conduct and Individual Accountability and 5,000+ other micro courses in minutes, or turn your own policies into microlessons with AI Studio.

Start free trial