FCA Non-Financial Misconduct: The Reference eLearning Course

Overview

A 5-module course for SMCR-regulated UK financial firms following a non financial misconduct case from reference-letter integrity through after-hours conduct, dual perspective replay, fog-of-war investigation, and FCA hot-seat hearing. Approximately 110 minutes total. Course delivered in English.

Target Audience:

Senior managers under SMCR, HR leads, compliance officers, in-house counsel, and Conduct Rules-trained staff at FCA-authorised firms.

Features and USPs:

The course helps learners to understand the scope and impact of the legislation and also to work through the regulation as it appears in the workplace. Learners experience the cause?and?effect of their decisions and are supported with immediate feedback. The course helps to build situational awareness, practical judgment, confidence and real?world problem?solving skills.

This interactive and adaptive online course is designed to turn a complex legislative topic into a memorable, actionable learning experience. Using a dynamic “choose your own adventure” format, the course adapts to the learner’s choices within a relatable workplace scenario.

Learning Objectives:

• Apply SYSC 28A reference-letter integrity standards
• Identify and act on non-financial misconduct under Conduct Rules
• Run a fair and proportionate investigation under fog-of-war constraints
• Engage with FCA enforcement during examination
• Document Senior Manager accountability under SMR