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.

CPD

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.