SM&CR Conduct Rules
Overview
This course is adapted to Senior Managers, Certification Staff, and Conduct Staff. Each module includes numerous case studies to illustrate how the rules are applied in practice.
Who is this for?
This course is designed for Senior Managers, Certification Staff, and Conduct Staff.
Learning Outcomes
After attending the appropriate course for their status under the conduct rules, SMFs, certified persons and conduct rules staff will be able to:
- Explain the background to the conduct rules
- Describe their role within both sets of conduct rules
- Apply the rules to their role within the firm
Course Details
1) Conduct Rules for Senior Managers
Specifically designed to cover how the Conduct Rules impact staff that are considered Senior Managers under the regime.
The background to the Senior Managers and Certification Regime
The practicalities of the certification regime
- FCA’s Code of Conduct (COCON)
- The two tiers of SM&CR Conduct Rules
- The six individual Conduct Rules
- The four Senior Manager Conduct Rules
- Senior managers’ responsibilities under the conduct rules
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.
- The purpose behind the certification regime
- The practicalities of certification
- FCA’s Code of Conduct (COCON)
- The two tiers of SM&CR Conduct Rules
- The six individual Conduct Rules
- The four Senior Manager Conduct Rules
3) Conduct Rules for Conduct Staff
Specifically designed to cover how the Conduct Rules impact so-called Conduct staff that are neither Senior Managers nor Certification staff under the regime.
- Introduction – application and logic of the SM&CR Conduct Rules
- FCA’s Code of Conduct (COCON)
- The two tiers of SM&CR Conduct Rules
- The six individual Conduct Rules
- The four Senior Manager Conduct Rules
- Case studies to illustrate the application of the conduct rules
Delivery
Have the flexibility to deliver your In-House training in-person by one of our trainers at your premises, or virtually via Zoom, Teams or Webex.
Find out more about your Virtual or In-Person training experience below.
Virtual Delivery
Our virtual training courses are designed to be every bit as engaging as our in-person courses. To achieve this, our trainers use market-leading technology and a range of training techniques to ensure high levels of interaction with participants. Courses include the use of:
- Virtual ‘break-out’ rooms: participants are divided into virtual rooms to facilitate small group discussion.
- Polling: multiple-choice questions, answered anonymously, allow the trainer to assess knowledge and understanding across the group.
- Case studies: true to life case studies and scenarios are used to highlight the practical application of theoretical knowledge.
- Messaging: participants can submit questions and comments, either to the whole group or privately to the trainer.
Additional Benefits:
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Recording: public course participants have the option to access a recording of the course for one month after the course. In-House clients also have the option to record their training for an additional fee.
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On-going Q&A: public course participants can access an ongoing Q&A facility allowing them to ask questions relating to the course.
In-Person Delivery
Our in-person training is delivered face to face at your offices, and includes:
- ‘In-the-moment’ questions & discussions: questions through conversations allow the trainer to assess knowledge and understanding across the group.
- Case studies: true to life case studies and scenarios are used to explore practical application of theoretical knowledge.
- Q&A: participants can ask questions during training, either to the whole group or privately to the trainer.