SM&CR Conduct Rules eLearning

Overview

The CCL Academy has created 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

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.