Conduct Rules eLearning

This module uses realistic, interactive scenarios to explore the regulatory requirements and current FCA expectations (including the Consumer Duty).

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.

This eLearning module clearly details the conduct rules, what they are and who they apply to. It provides the perfect solution to raising awareness and instilling a foundation of understanding of the expected conduct for all levels of staff at the firm.

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 six 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.