Conduct Rules eLearning
Overview
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:
- 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.
Who is this for?
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.
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 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.
Delivery
Our interactive learning is delivered online, so all you need is an internet-connected device – we’ll do the rest.
We handle every part of the set-up process, from customising your individual Learning Management System (LMS), loading staff data, setting up a deployment and reminder schedule and reporting on progress.
In addition, administrators can also have access to all of these tools too, giving you the flexibility to be involved as much or as little as you prefer.
eLearning Previews
See examples taken from a range of our eLearning courses in the gallery below.