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Conduct Rules & SM&CR for Certified Staff training

Five microlessons for certified staff on SM&CR: senior manager accountability, the Certification Regime, fit and proper standards and the conduct rules, with situational tests and a certificate of completion.

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Conduct Rules & SM&CR - Certified Staff (UK) course preview
5Short, TikTok-style microlessonsIn the browser or the iOS and Android apps

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  • 2Assessments
  • 5Microlessons
  • IncludedCertificate of completion
About this course

What the Conduct Rules & SM&CR for Certified Staff course covers

This course explains the Senior Managers and Certification Regime for certified staff in five short microlessons. It covers the Certification Regime, fit and proper standards, the six individual conduct rules and how your role supports senior manager accountability, so you can keep your certification and escalate issues well.

Learning outcomes

What your people will be able to do

  • Explain the SM&CR framework, its regimes and its purpose
  • Describe how Management Responsibilities Maps make accountability clear
  • Meet the annual fit and proper assessment: honesty, competence and financial soundness
  • Apply the conduct rules to everyday decisions
  • Use daily SM&CR practices that build a compliance culture
  • Respond to FCA or PRA requests with accurate certification records
Course contents

5 microlessons

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

1What Is SM&CR?
2Understanding Senior Manager Accountability and Your Role under SM&CR
3Understanding the Certification Regime
4What Are the Conduct Rules?
5How to Embed SMCR in Practice

  1. What Is SM&CR?: The Senior Managers and Certification Regime and why it exists.
  2. Understanding Senior Manager Accountability and Your Role under SM&CR: How senior manager accountability works and where your role fits.
  3. Understanding the Certification Regime: Certification, fit and proper standards and the annual assessment.
  4. What Are the Conduct Rules?: The six individual conduct rules and how to apply them.
  5. How to Embed SMCR in Practice: Day-to-day habits that embed SM&CR and a strong compliance culture.
A 5Mins certificate of completion for Conduct Rules & SM&CR - Certified Staff (UK), 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 Conduct Rules & SM&CR - Certified Staff (UK).

  • 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

  • Staff in certification functions, such as client-facing advisers, managers of certified staff and material risk takers
  • Employees moving into a certified role
  • Compliance and HR teams who run the annual fit and proper assessment

Laws covered

  • Senior Managers and Certification Regime (SM&CR). Firms must assess certified staff as fit and proper when they start and at least once a year.
  • FCA Code of Conduct sourcebook (COCON). The six individual conduct rules that apply to certified staff.
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
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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 Conduct Rules & SM&CR for Certified Staff training? Request a free sample lesson, book a short demo with our team, and we'll share your sample lessons after the call.

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  • A short demo with our team
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Free course catalogues

Take the catalogues with you

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

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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.

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UK compliance

UK Compliance Catalogue

Built for UK organizations, covering GDPR, RIDDOR, Martyn's Law, employment law and the regulations your team needs day to day.

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Compliance

Global Compliance Catalogue

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

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Your questions answered

Questions about Conduct Rules & SM&CR for Certified Staff training

How long is the Conduct Rules & SM&CR for Certified Staff course?

It's made up of 5 short microlessons. 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.

What is the Certification Regime?

Part of SM&CR. Firms identify roles that could cause significant harm to customers or the firm, and must certify the people in them as fit and proper at least once a year.

Who should take this course?

Certified staff, people moving into a certified role and the compliance and HR teams who run certification. Senior managers can take Conduct Rules & SM&CR - Senior Managers (UK).

How often should staff take this training?

Many firms run it alongside the annual fit and proper assessment. In 5Mins you can set the course to repeat, for example every 12 months.

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.

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