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:

Dual-POV replay (same event from two perspectives). Fog-of-war resource-constrained audit. FCA hot-seat sequential interview with running credibility score. Compliance calendar forward scheduling. Domino visualiser for cascading conduct failure. Cinematic noir-style direction. Legally reviewed by qualified UK financial-services counsel.

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