Conduct Rules eLearning

This Conduct Rules eLearning module details the conduct rules, what they are and who they apply to.

It provides staff with awareness of the conduct rules, and instills a foundation of understanding of the expected conduct for all levels of staff at the firm.

This module uses realistic, interactive scenarios to explore the regulatory requirements and current Financial Conduct Authority (FCA) expectations, including the Consumer Duty.

Three Conduct Rules eLearning modules are available, each one targeted at a particular subset of staff:

1. Conduct Rules for Senior Managers
2. Conduct Rules for Certification Staff
3. Conduct Rules for Conduct Staff

Each module includes numerous case studies to illustrate how the rules are applied in practice.

This module and the end assessment can be tailored to incorporate client-specific content.

1) Conduct Rules for Senior Managers

Specifically designed to cover how the Conduct Rules impact staff that are considered Senior Managers under the regime.

2) Conduct Rules for Certification Staff

Specifically designed to cover how the Conduct Rules impact staff that need to be certified by the firm (Certification Staff) under the regime.

3) Conduct Rules for Conduct Staff

Specifically designed to cover how the Conduct Rules impact staff that are neither Senior Managers nor Certification staff under the regime.

The main course chapters are:

• Overview of the SM&CR and the Conduct Rules
• What do the Conduct Rules mean for you?
• General conduct
• Specific issues relating to customers
• Specific issues relating to markets and regulators
• Specific issues for senior managers (Senior Managers version only)

Each module is followed by an end-of-module assessment. 

Note – The Financial Conduct Authority's (FCA’s) rules require that firms ensure employees understand the practical impact of the Conduct Rules in relation to their own roles. As a result, we recommend that these modules are further supplemented by tailored training to ensure an understanding of how the rules apply in the context of the specific job roles of the Senior Managers, Certification Staff or Conduct Staff.