Consultancy and Ready to Go E-Learning
"Making Compliance Simple"
CONDUCT RULES TRAINING
Training courses to comply with the FCA's annual training requirement
Regulatory
Compliance Requirement
Conduct rules training is an FCA regulatory requirement for all staff, excluding ancillary staff.
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Our Conduct Rules Training courses meet this annual training requirement. We offer two different online courses:
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1. For team members under the Certification Regime as well as all other team members who need to abide by the Conduct Rules.
£20 per delegate*
2. For Senior Managers under the Certification Regime
£30 per delegate*
* We have an online corporate training platform should you wish to purchase the training for larger teams rather than on a per delegate basis.
What do the courses include?
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We’ve included a mix of videos, text, quizzes and plenty of scenarios to assist a clear understanding of:
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1. The conduct rules themselves
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2. An overview of SM&CR
3. How the conduct rules practically apply to a range of organisations / roles
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4. Consequences for failing to follow the rules (such as the inclusion on future regulatory references or a finding that the individual is not fit and proper)
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Also included is a certificate of completion which is valid for 1 year. This satisfies the FCA's requirement that training records, such as a certificate or training log, be maintained.
Photo credit: https://www.eemortgagebroker.com.au/
Course Curriculum
Introduction
Welcome and how to complete the training
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Chapter 1
Background to the FCA
Chapter 2
Introduction to the SM&CR
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Chapter 3
Introduction to the Conduct Rules
Conduct Rule 1
Conduct Rule 2
Conduct Rule 3
Conduct Rule 4
Conduct Rule 5
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Final Exam
Must obtain 80% to pass the course
Who are the courses for?
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There are 2 different courses tailored specifically for:
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1. Senior managers who must receive training before December 2019. Annual refresher training is required.
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2. Certification and all other staff, but excluding ancillary staff. Certification staff are required to receive training by December 2019; all other staff are required to receive training by December 2020. Again, annual refresher training is required.
