Winter is Coming – and so are the Conduct Rules
This winter sees the introduction of the conduct rules for solo-regulated firms, insurance firms and banking are already complying with SM&CR and thus the conduct rules. Whilst the rules themselves are quite high level (this article is not covering the rules themselves, if you would like a reminder of the conduct rules please read our blog "SM&CR Conduct Rules Training Requirements") there are a few specific steps firms must take to comply with the new COCON requirements. The