e-Learning module


The course explores the three elements of the regime in detail, summarising the roles and responsibilities held by Senior Managers and Certified Functions. It provides an understanding of the evidence requirements which firms must satisfy when assessing the fitness and proprietary of key individuals.

The Art of Effective SM&CR is designed to provide learners with practical training to implement the SM&CR requirements, to ensure your firm establishes healthy culture and effective governance.

- Overview of the SM&CR and the Senior Managers Regime
- Certification Regime
- Conduct Rules
- HR & the FCA

What you’ll learn
- How firms are classified under the SM&CR guidelines
- The evidence requirements used to satisfy an individual’s fit and proper status
- How the regime encourages a higher standard of personal conduce by setting a tone from the top
- The processes that firms should have in place to adhere to the SM&CR
- The range of management functions and responsibilities they hold

Suitable for:
This course is suitable for all individuals within a financial services firm.
This course covers the importance of embedding the SM&CR requirements across all relevant areas of the business, to ensure compliance with the regulatory responsibilities expected of senior individuals and the firm as a whole.

This will help to ensure that everyone is focused on creating a culture of accountability, that demonstrates a firm wide dedication to the SM&CR obligations.

With the SM&CR relatively new, and specific elements of the regime extended due to the interruption of COVID-19 on firms, this is the perfect course to refresh your knowledge and ensure you have implemented the appropriate measures.

Completion requirements
The whole course requires completing, along with the end of course assessment. This has a minimum pass mark of 65% to be achieved in order to successfully pass the course. Upon completion of this course, you will be recognised as having completed The Art of SM&CR training course, from The Art of Finance.

In addition, all of our content has been CPD Certified, meaning that all your time and investment is nationally recognised. Upon completion of your course, you’ll be sent your Art of Finance kitemark and CPD certificate to acknowledge your successful skills training and evidence for your firm’s compliance.

20% VAT is included in the price of this course.
  • SM&CR
  • Check your answers!
Completion rules
  • All units must be completed