Understanding the Conduct Rules

 

 

Understanding the Conduct Rules

A webinar for Certification and all other Conduct Rules staff

Wednesday 9th November | 10:00 - 11:30 | 1.5 CPD hours | £199

 

Webinar Overview

 

The Senior Managers and Certification Regime (SMCR) aims to reduce harm to consumers and strengthen market integrity by setting standards of personal conduct for everyone working in financial services. These standards of behaviour are set out in the Conduct Rules.

 

Securing awareness and understanding of the Conduct Rules calls for regular reinforcement. This interactive webinar will help participants by reinforcing their knowledge of the Conduct Rules and deepening their understanding about what is expected of them by exploring typical work-based examples of potential breaches of the Conduct Rules.

 

Key topics:

• The Conduct Rules as part of the SMCR

• Obligations on the firm

• The Individual Conduct Rules and the Code of Conduct

• An overview of the Senior Manager Conduct Rules

• The Conduct Rules in the personal context of individual job roles

• Implications of Conduct Rule breaches

• The Conduct Rules in real life – case study situations

 

Who should attend?

This webinar is aimed at all staff subject to the Conduct Rules, except for Senior Managers. The event is equally appropriate for experienced staff and for recent joiners. It supports new staff to understand their regulatory obligations, whist offering an important update and a different perspective on the Conduct Rules for more established individuals.

Event and Venue Information

CPD Authorised Yes
Event Date 09-11-2022
Event End Date 09-11-2022
Event Time 10:00 - 12:30
Price £199.00
£199.00 1000