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.

Our Conduct Rules Training courses meet this annual training requirement. We offer two different online courses:

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*

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* 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?

We’ve included a mix of videos, text, quizzes and plenty of scenarios to assist a clear understanding of:

1. The conduct rules themselves

2. An overview of SM&CR

3. How the conduct rules practically apply to a range of organisations / roles

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)

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.

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Course Curriculum

Introduction

Welcome and how to complete the training

Chapter 1

Background to the FCA

Chapter 2

Introduction to the SM&CR

Chapter 3

Introduction to the Conduct Rules

Conduct Rule 1

Conduct Rule 2

Conduct Rule 3

Conduct Rule 4

Conduct Rule 5

Final Exam

Must obtain 80% to pass the course

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Who are the courses for?

There are 2 different courses tailored specifically for:

1. Senior managers who must receive training before December 2019. Annual refresher training is required.

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.

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