Conduct Rules for Financial Services Staff Webinar Series (2)

Seminar Overview

The course is made up of 3 one-hour sessions, which will be held on consecutive Tuesdays. This is the second session in the series.

Firms must train all their staff on the Conduct Rules by 9 December 2020.

The FCA Conduct Rules are a key element of the Senior Managers & Certification Regime. Through them, the FCA can hold everyone who works in financial services – regardless of seniority - personally responsible for their actions.

• The FCA have said:

‘We expect all SM&CR firms to ensure that they are embedding the Conduct Rules in their businesses to meet their obligations under the regime. It is essential that staff understand the rules and how they apply to them. We will increase our supervisory focus on the Conduct Rules.’

By working through scenarios drawn from recent FCA guidance and disciplinary cases, delegates will be able to recognise and avoid breaches of the Individual Conduct Rules, which oblige all staff to: 

• Act with integrity
• Act with due care, skill and diligence
• Be open and co-operative with the FCA, the PRA and other regulators
• Pay due regard to the interests of customers and treat them fairly
• Observe proper standards of market conduct

In a recent Dear CEO letter, the FCA warned senior managers: 

‘The SM&CR emphasises the importance of senior managers taking responsibility for what happens in their areas. A senior manager’s failure to take reasonable steps to address non-financial misconduct [by their staff] could lead us to determine that they are not fit and proper.’

Senior managers and directors at FCA-authorised firms are also subject to the Senior Manager Conduct Rules, which are covered in a separate three-part weekly online course.

Who should attend?

Over three weekly one-hour online sessions, this practical, scenarios-based course will provide staff at all levels at FCA-authorised firms with a thorough understanding of the Individual Conduct Rules.

CPD

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

To Reserve a Place

Email This email address is being protected from spambots. You need JavaScript enabled to view it., call +44 (0)20 7422 0063 or book online. You will receive confirmation of your booking within 24 hours. Price inclusive of all course material. Price exclusive of VAT.