Introduction to UK Financial Regulation
NEDs are an important part of a firm's governance and provide independence and oversight. In addition to complying with the statutory and fiduciary duties, NEDs in financial services have regulatory obligations.
The Conduct Rules set the standard of personal conduct for everyone in financial services. NEDs are subject to higher standards and a higher level of accountability than others in the firm.
Our Conduct Rules for Non-Executive Directors (NEDs) course outlines which conduct rules apply to NEDs.
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45 Minutes -
For all staff
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UK
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FCA Compliance Library
What you’ll learn in
this course
- Understand how the Senior Managers and Certification Regime (SM&CR) applies to NEDs
- Understand when a NED may become the holder of a Senior Manager Function
- Recall the Conduct Rules that apply to you as a NED
- Explain how the Conduct Rules apply in practice
- Describe how you will comply with the Conduct Rules in your role
- Describe when the Prudential Regulation Authority (PRA) or Financial Conduct Authority (FCA) might take action for non-compliance with the Conduct Rules
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