Conduct Rule Training

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

RR Compliance Associates is member of the Association of Professional Compliance Consultants.

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RR Compliance Associates are a trading style of R&R Compliance Consultants Ltd, a limited company registered in England and Wales (company number 12070286). Our registered office is 9 Guithavon Street, Witham, Essex, CM8 1BJ. VAT number 326 1938 96.​