Conduct Rule Training
It is mandatory for firms to provide their employees with training and guidance on the Conduct Rules and how those rules apply to their roles and duties.
This is why our Conduct Rules Training is instructor led, meeting your annual training requirement under the SM&CR Regime. During the interactive course, we cover the flowing topics:
- Background to the FCA: a conduct based regulator
- Introduction to the SM&CR: an overview
- The Conduct Rules: practical application to you organisation and participants' roles (Tier 1 and 2)
- Breach of Rules: Consequences (eg reference) and FCA reporting