Smcr Conduct

Overview

The CCL Academy has created three Conduct Rules eLearning modules, each one targeted at a particular subset of staff:

  1. Conduct Rules for Senior Managers
  2. Conduct Rules for Certification Staff
  3. Conduct Rules for Conduct Staff

Each module includes numerous case studies to illustrate how the rules are applied in practice.

Course Details

1) Conduct Rules for Senior Managers

Specifically designed to cover how the Conduct Rules impact staff that are considered Senior Managers under the regime

  • Introduction – application and logic of the SM&CR Conduct Rules
  • FCA’s Code of Conduct (COCON)
  • The two tiers of SM&CR Conduct Rules
    • The five individual Conduct Rules
    • The four Senior Manager Conduct Rules
  • Exclusion of ancillary staff
  • Activities to which the rules apply
  • FCA guidance on the rules
  • The notification and training requirement
  • Breach reporting and the annual notification
  • End of module assessment structured around 25 case studies

2) Conduct Rules for Certification Staff

Specifically designed to cover how the Conduct Rules impact staff that need to be certified by the firm (Certification Staff) under the regime

  • Introduction – application and logic of the SM&CR Conduct Rules
  • FCA’s Code of Conduct (COCON)
  • The two tiers of SM&CR Conduct Rules
    • The five individual Conduct Rules
    • The four Senior Manager Conduct Rules
  • Exclusion of ancillary staff
  • Activities to which the rules apply
  • FCA guidance on the rules
  • The notification and training requirement
  • Breach reporting and the annual notification
  • End of module assessment structured around 20 case studies

3) Conduct Rules for Conduct Staff

Specifically designed to cover how the Conduct Rules impact so-called Conduct staff that are neither Senior Managers nor Certification staff under the regime

  • Introduction – application and logic of the SM&CR Conduct Rules
  • FCA’s Code of Conduct (COCON)
  • The two tiers of SM&CR Conduct Rules
    • The five individual Conduct Rules
    • The four Senior Manager Conduct Rules
  • Exclusion of ancillary staff
  • Activities to which the rules apply
  • FCA guidance on the rules
  • The notification and training requirement
  • Breach reporting and the annual notification
  • End of module assessment structured around 10 case studies

Note – The FCA’s rules require that firms ensure employees understand the practical impact of the Conduct Rules in their own roles. As a result, we recommend that these modules are further supplemented by tailored training to ensure understanding of how the rules apply in the context of the specific job roles of the Senior Managers, Certification Staff or Conduct Staff.

Key features of our eLearning include:

 

Inhouse Experts
In-House Subject Matter Experts
Experienced, full-time GRC practitioners
Fully Customisable
Fully Customisable
Able to tailor any module to your specific requirements
Pass2
Access All Modules
No restriction to module access
Multi Device
Multi-Device Compatible
Deliverable on desktops, laptops, tablets and smartphones
Trackable Testing
Trackable Testing
Easy to generate reports on progress and results
Flexible Implementation
Flexible Implementation
Delivered through our LMS or deployed on your existing system