Course description
All FCA-authorised firms must train their staff on the FCA Conduct Rules, which set minimum standards of personal behaviour and make staff more accountable for their actions.
Presented by financial compliance expert Robert Bell, this short webinar will examine this key aspect of the Senior Managers & Certification Regime and look at the FCA’s heightened expectations of staff at all levels as reflected in the Consumer Duty.
It is suitable for staff at FCA-authorised firms at all levels.
Upcoming start dates
Outcome / Qualification etc.
Training Course Content
Introduction
All FCA-authorised firms must train their staff on the FCA Conduct Rules, which set minimum standards of personal behaviour and make staff more accountable for their actions.
This short webinar will examine this key aspect of the Senior Managers & Certification Regime and look at the FCA’s heightened expectations of staff at all levels as reflected in the Consumer Duty.
It is suitable for staff at FCA-authorised firms at all levels.
What You Will Learn
This webinar will cover the following:
- An examination of each of the following individual Conduct Rules, illustrated through recent FCA disciplinary proceedings:
- 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’
- Rule 6: ‘You must act to deliver good outcomes for retail customers’
- Best practice when applying the conduct rules and meeting training requirements
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...