Overview
Three Conduct Rules eLearning modules, each one targeted at a particular subset of staff:
- Conduct Rules for Senior Managers
- Conduct Rules for Certification Staff
- 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.
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.
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
- FCA guidance on the rules
- End of module assessment structured around multiple 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:
