Free FCA Conduct Rules Training Aid

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

Under the Senior Managers Regime, all senior managers must comply with the FCA's five Individual Conduct Rules (ICRs) and four Senior Managers Rules (SMRs).

Senior Managers are expected to comply with all nine Conduct Rules and take 'reasonable steps' to prevent breaches.

Employees subject to Conduct Rules need training not just to know the rules but to understand them as they apply to their specific roles.

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FCA Conduct Rules Training Aid

How this training aid helps...

Our desk aid has 10 tips on how to ensure your staff fully understand and adhere to conduct rules.

Issues highlighted include:

  • Correctly align training to specific roles
  • Ensure your training sticks
  • Use the correct training methods
  • Follow up training appropriately

Download your free training aid