Conduct Rules for Conduct Rule Employees Course

The UK's financial services sector has been rocked over the past decade by scandals ranging from miss-selling to market manipulation. This led to the launch of the SMCR.

One of the SMCR cornerstones is a set of six Individual Conduct Rules (ICRs) that apply to all individuals working in financial services.

Our SMCR Conduct Rules course helps Conduct Rule employees learn about ICRs, their contraventions and their application to practical situations relevant to their roles.

SMCR Conduct Rule Employees Conduct Rules Training Course

About this Course

Available as part of our SMCR Course Library.

Learning objectives

This course will help your Conduct Rule employees to:

Recall the FCA Conduct Rules
State to whom the FCA Conduct Rules apply
Explain how the FCA Conduct Rules apply in practice
Describe how you will comply with the Conduct Rules in your role

Latest course updates

Major revision and update of course
Adapted to incorporate the FCA's Consumer Duty
Addition of a sixth Individual Conduct Rule

Course Outline

Introduction

What are the Conduct Rules?

The Senior Manager & Certification Regime

- The Conduct Rules

Individual Conduct Rule 1

- You decide: Are they acting with integrity?

Individual Conduct Rule 2

- You decide: Are they acting with due skill, care & diligence?

Individual Conduct Rule 3

- ICR 3 enforcement
- You decide: Are they being open & cooperative?

Individual Conduct Rule 4

- You decide: Are they having regard for the interests of customers & treating them fairly?

Individual Conduct Rule 5

- You make the call: Are they observing proper standards of market conduct?

Individual Conduct Rule 6

- You decide: Are they acting to deliver good outcomes for retail customers?

Summary

Affirmation

Assessment

Course Specifications

Structure

Approximately 25-minute long e-learning course followed by a 10-question assessment.

Audience

Suitable for all staff - examples and interactivities designed for staff at all levels. No previous knowledge or experience is required.

Design

SHARD-compliant, responsive display on all devices, accessibility on screen readers, visual design controlled via your client style sheet.

Compatibility

All Windows, Mac OSX, iOS, Android (Flash-free for mobile compatibility). AICC and SCORM 1.2-compliant, suitable for both hosted and deployed SCORM or AICC.