Course description
The Conduct Rules should now be embedded within the culture of regulated organisations and behaviours of their staff; however, many firms have not created the systems and controls to measure the impact of the conduct rules.
To mitigate the risk of regulatory sanction and meet their own regulatory obligations, senior managers must ensure their firms are maintaining appropriate evidence of adherence to the conduct rules and measuring the impact the rules have on individuals in the organisation.
Presented by the highly regarded financial compliance expert Robert Bell, this virtual classroom seminar will explore the systems and controls which can be created to comply and is aimed at financial services staff with responsibility for implementing the conduct rules.
Upcoming start dates
Outcome / Qualification etc.
Training Course Content
Introduction
The Conduct Rules should now be embedded within the culture of regulated organisations and behaviours of their staff; however, many firms have not created the systems and controls to measure the impact of the conduct rules.
The FCA have reminded authorised firms of the importance of embedding the rules properly, ensuring they are being adhered to by both senior managers and junior staff.
To mitigate the risk of regulatory sanction and meet their own regulatory obligations, senior managers must ensure their firms are maintaining appropriate evidence of adherence to the conduct rules and measuring the impact the rules have on individuals in the organisation.
This new virtual classroom seminar will explore the systems and controls which can be created to comply and is aimed at financial services staff with responsibility for implementing the conduct rules.
What You Will Learn
This live and interactive session will cover the following:
- The Senior Manager’s and Certification Regime
- Senior Management Functions, Prescribed Responsibilities, and the Duty of Responsibility
- The Conduct Rules (Tier 1 and 2)
- Training and reporting requirements
- Monitoring Adherence:
- Identifying breaches
- Taking appropriate action
- Regulatory concerns - what to do
- Reporting and other statutory obligations
- How to evidence compliance
- Measuring the impact:
- Setting the objectives
- Measuring performance and change
- Taking action
- How to evidence compliance
Expenses
MBL Seminars Limited
MBL is a leading learning and development provider for professional service firms. Over the past 18 years, more than 198,000 people across 23,000 different organisations spanning 81 countries, have chosen us to deliver their training. With over 800 expert speakers...