Role-relevant SMCR training for UK private equity and venture capital teams, with dedicated learning for employees and Senior Managers.
Help learners connect Conduct Rules and individual accountability with practical decisions involving investments, investor reporting, operations, oversight and escalation.
A focused learning experience for professionals who want practical SMCR and Conduct Rules awareness without a lengthy training commitment.
Deliver SMCR awareness across teams while giving administrators the controls needed to assign training, monitor completion and manage recurring compliance activity.
Extend SMCR awareness into a broader compliance programme covering cyber security, code of conduct, financial crime and regulated-firm responsibilities.
Build practical awareness of cyber security, information protection and safer employee behaviours.
Explore MoreReinforce phishing awareness through realistic simulation exercises.
Explore MoreStrengthen responsible handling of personal information and privacy awareness.
Explore MoreBuild awareness of workplace conduct and appropriate employee responsibilities.
Explore MoreKYC, CDD, EDD, MLRO, CFT, CPF and practical financial crime awareness.
Explore MoreUnderstand compliance considerations involving gifts, hospitality and entertainment.
Explore MoreBuild awareness of speaking up and appropriate reporting channels.
Explore MoreAwareness of political donations within organisational governance and compliance.
Explore MoreSMCR and Conduct Rules awareness for UK private equity and venture capital teams.
Explore MoreAccess the wider Financial Crime Prevention learning range as part of the broader PE/VC compliance proposition.
Explore MoreSelected SucceedLEARN courses are CPD certified, helping learners build practical compliance knowledge while supporting continuing professional development.
*CPD certification applies to selected courses only.
SMCR training helps relevant employees and Senior Managers understand their responsibilities under the Senior Managers and Certification Regime.
SucceedLEARN places the subject in a private equity and venture capital context, using situations involving investment decisions, reporting, due diligence, fund operations and oversight.
Choose learning that reflects the learner's responsibilities rather than using the same content for every role.
Build practical understanding of the SMCR framework and the six Individual Conduct Rules through situations relevant to PE and VC employees.
Develop understanding of Senior Manager accountability, reasonable steps, delegation, oversight, documentation and additional Conduct Rules.
The Employees course helps learners understand where they sit within the SMCR structure and what the six Individual Conduct Rules mean for day-to-day behaviour.
Practical situations help connect the rules with decisions involving investor information, due diligence, operations, valuations, confidential information and regulatory interaction.
The course places Conduct Rules in situations relevant to private equity and venture capital, helping learners recognise when individual conduct can affect investors, the firm or regulatory interactions.
Recognising and responding appropriately to inaccurate or potentially misleading information.
Responding appropriately when important information remains incomplete but commercial pressure is increasing.
Understanding when information requires appropriate clearance before it is shared.
Senior Managers have additional responsibilities beyond the employee-level Conduct Rules. This course focuses on how those responsibilities translate into leadership and oversight.
Learners work through practical PE/VC situations involving controls, delegation, reporting, documentation and regulatory interaction.
In the supplied Senior Managers course, reasonable steps are explored through practical oversight activities such as delegation, control reviews, escalation and follow-up.
Establish clear reporting lines, responsibilities and oversight arrangements.
Monitor delegated work, challenge weaknesses and respond to emerging risks or red flags.
Maintain records, audit trails and evidence of important decisions and oversight actions.
Choose the learning path that best matches the learner's role and responsibilities within the firm.
Designed for relevant employees who need to understand the SMCR structure and how the Individual Conduct Rules apply to their responsibilities.
Designed for relevant Senior Management Function holders who need additional understanding of accountability, reasonable steps, delegation and oversight.
Regulator
The Employees course explains that SMCR was introduced by the FCA to strengthen conduct standards and individual accountability.
Sourcebook
The Employees course identifies COCON as the sourcebook containing the Conduct Rules covered in the training.
Prudential Regulation
The Senior Managers course also refers to PRA responsibilities in the context of Senior Manager regulatory obligations.
The supplied courses use realistic decision points rather than relying only on definitions and regulatory terminology.
Learners consider situations involving investments, reporting, due diligence, operations, regulatory interaction and Senior Manager oversight.
Both modules conclude with scenario-based assessments designed to test understanding of the course material.
Give learners examples that reflect private equity and venture capital work rather than relying solely on generic financial-services scenarios.
Employees and Senior Managers follow separate learning pathways reflecting different responsibilities.
Situations connect SMCR concepts with investment, reporting, fund operations and oversight.
Scenario questions help learners apply the concepts rather than simply memorise terminology.
Concise answers to additional questions buyers and learners may have when considering SucceedLEARN SMCR training.
SMCR stands for the Senior Managers and Certification Regime. It is the UK framework for individual accountability within relevant regulated financial services firms.
The SucceedLEARN Employees course explains Senior Managers, Certified Persons and Conduct Rules Staff, alongside the Conduct Rules that apply to relevant individuals.
Yes. The courses include situations involving investments, due diligence, investor reporting, fund operations, valuations, fundraising and portfolio oversight.
The Employees course focuses on the SMCR structure and Individual Conduct Rules. The Senior Managers course adds responsibility, reasonable steps, oversight, delegation and additional Senior Manager Conduct Rules.
Yes. Both supplied courses conclude with scenario-based assessments that test understanding of the course content.
Yes. The Employees course includes annual attestation and explains the responsibilities learners should consider during the process.
Yes. The Employees course covers reporting and escalation of potential Conduct Rule breaches. The Senior Managers course also addresses oversight, documentation and breach reporting.
Yes. The Senior Managers course covers Statements of Responsibilities, Duty of Responsibility and evidence of oversight.
Yes. Both courses use scenarios and decision points to connect SMCR principles with practical workplace situations.
The two courses address different levels of responsibility. Employees focus on individual conduct, while Senior Managers also explore leadership accountability, reasonable steps, delegation and oversight.
Choose role-relevant learning for employees, Senior Managers or both audiences within your organisation.
Tell us which SMCR course you are interested in and share your organisation's training requirements.