Conduct Rules for Conduct Rule Employees Course

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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.

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SMCR Conduct Rule Employees Conduct Rules Training Course

About this Course

This SCORM-compatible course is part of our SMCR Course Library.

The library is available in the Skillcast Standard plan for larger companies or Skillcast Basic plan for those with under 50 learners.

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


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?




Course Specifications



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



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



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



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.



Fully customisable on Skillcast Portal CMS.



Pre-translated versions not available, but all text content can be exported for translation into all languages.



Based on UK legislation, but suitable for global audiences upon the removal of UK-specific references and translation as necessary.

FCA Course Library

Our FCA Course library of over 60 training modules covers everything from high-level and conduct of business standards to thematic topics, including treating customers fairly.

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FCA Course Library