A 45-minute, CPD-assessed course on the Senior Managers and Certification Regime for certified and conduct rules staff, not only senior managers. Who answers for what, certification, fitness and propriety, what a reference will say about you, and the 2026 reforms. Scheduled, chased and certified for you.
CPD assessed. Every pass issues a certificate carrying the CPD mark.The regime reaches much further down a firm than its name suggests. The course gives three questions that settle which group someone is in.
Approved by the regulator for a senior management function, with a statement of responsibilities and a duty to take reasonable steps.
Not approved by the regulator, but assessed by the firm as fit and proper at least once a year for a role that could cause significant harm.
Almost everybody else in the firm, bound by the individual conduct rules from the day they take the role.
The trade press reporting of the reforms has been read in some firms as meaning annual certification has gone. It has not.
Phase two, removing the certification regime from legislation, has been announced and not yet consulted on.
Senior manager material is kept as context: the point is what the regime does to everybody else, and who is answerable for their area.
Three parts and three groups of people, three questions that settle which one you are in, and why limited scope, core and enhanced firms carry different loads.
What a senior manager has, why it matters to you if you are not one, the senior management functions you will actually hear named, and why approval is neither a formality nor permanent. Includes a filmed scenario.
What reasonable steps actually look like, the four places they usually fail, all visible from well below senior management, and what gets looked at afterwards.
The practical version for everybody else, and why outsourcing moves the work but not the answerability.
What the 2026 reforms changed and what they did not, which roles are certified, what the assessment actually involves, your name on the public register, and your side of it. Includes a filmed scenario.
The individual conduct rules in short, what a breach means in practice, and how it reaches the regulator, with the full treatment left to the Conduct Rules course.
Handovers, regulatory references, the six-year look-back and its one exception, and what to do if you think a reference about you is wrong.
Where the new conduct rule on bullying, harassment and violence reaches, and why fitness and propriety goes wider than the rule.
How to raise something, what to do if you are on the receiving end, what happens afterwards, and what a supervisor actually looks at.
What to take away and who to ask what, followed by the test and the certificate.
For most employees the sharpest end of the regime is the reference that follows them when they move. By the end, a learner can:
Two short films, shot for Fundsure with the same cast across the catalogue. In one, a colleague has a concern about an area that belongs to a senior manager. In the other, something comes to light partway through the year that bears on whether a certified person is fit and proper. After each, the learner chooses what should happen, and is told why the tempting answers are wrong: making sure first, leaving it because the senior manager will already know, waiting for the annual assessment, or moving the person so the question does not have to be answered.
The test at the end draws 10 questions from a bank of 30, with a pass mark of 80%, and a pass issues a named, CPD-marked certificate that anyone can check online.
Certified staff are assessed as fit and proper every year, and training is part of the evidence of competence. Conduct rules staff must understand the rules that apply to them. Both are easier to show when the training record and the fit and proper round sit together.
In the Fundsure Portal the course is scheduled for everyone, chased before the deadline, and the annual fit and proper round, declarations and certificates sit alongside every sitting, score and certificate in the compliance officer’s report to the board.
See the Fundsure PortalUnderstanding the SMCR plus Conduct Rules, Non-Financial Misconduct, Compliance Officers and the rest of the catalogue of 20, with no per-course fees.
All six individual rules and the four senior manager rules in full.
See the courseThe bullying, harassment and violence rule in depth.
See the courseWhat being a director of a regulated firm actually requires.
See the courseRunning the compliance function, including fitness and propriety.
See the courseWe will send you a link to take the whole course, filmed scenarios and test included, or walk you through the portal with a demonstration firm.
