Introduction to the SM&CR Conduct Rules for Financial Services Staff - March

*Book 3 places for the price of 2*


Webinar Overview


In March 2021, new Conduct Rules will come into force which will set minimum standards of behaviour and make virtually all staff at FCA-authorised firms personally accountable for their actions. Firms are obliged to train all of their staff on the Conduct Rules. This one-hour webinar will introduce participants to the new rules and provide a forum to discuss their practical implications.


The following matters will be covered:


Hannah Doherty, a financial services expert, will explore the Individual Conduct Rules, below, using recent FCA disciplinary proceedings as case studies:

  • Rule 1: You must act with integrity
  • Rule 2: You must act with due care, skill and diligence
  • Rule 3: You must be open and cooperative with the FCA, the PRA and other regulators
  • Rule 4: You must pay due regard to the interests of customers and treat them fairly
  • Rule 5: You must observe proper standards of market conduct

The webinar will conclude with a Q&A.


Who should attend?


This one-hour webinar is suitable for staff at FCA-authorised firms at all levels, compliance officers, HR personnel and regulatory lawyers.





A CPD certificate will be provided to all attendees, which may be considered appropriate by your company for the accrual of CPD hours. This session will qualify for 1 CPD hour. 

Training and Venue Information

CPD Authorised Yes
Event Date 16-03-2021
Event End Date 16-03-2021
Registration Start Date 16-12-2020
Event Time 14:00 - 15:00
Price £99.00
£99.00 1000