FCA COCON Breaches Desk Aid

Length: 1-page | Format: Editable PPT/PDF

The FCA Code of Conduct (COCON) applies to everyone from the cleaners and the post room to Senior Managers, Certified Persons and the Board of Directors.

In regulated firms often the heavier burden of compliance on Senior Managers and Certified Persons can lead to ancillary staff falling through the regulatory cracks.

That's why we've created a desk aid to help.

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How this desk aid helps...

This simple desk aid aims to remind all of your staff about the ten most obvious ways they could breach COCON.

Whilst many of these failures are obvious, some are not. And for those in lightly regulated roles, it is often harder to keep COCON front of mind.

Download your free desk aid