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Despite the turmoil and uncertainties caused by Covid-19, the FCA’s Business Plan for 2020-2021 states that:
“We expect all solo-regulated firms to comply with the requirements of the Senior Managers and Certification Regime (SM&CR) as they fall due. The regime aims to see firms across financial services foster healthy cultures where conduct and fair customer outcomes are at the forefront of their business.”
The Conduct Rules, which lie at the heart of the SM&CR, set these basic standards of good personal conduct. As part of the final implementation of the SM&CR, firms are required to ensure that all their staff are fully trained on the Conduct Rules and understand how these Rules impact their job roles. Firms must complete this training by 9th December 2020 at the latest.
This focused workshop will help firms meet this deadline, familiarise staff with the Conduct Rules and help them to understand what is expected of them in the context of the work they do.
Attending will enable participants to:
All staff subject to the Conduct Rules from 9th December 2020. The course is equally appropriate for established staff andrecent joiners. It is also suitable as a refresher for Senior Managers and Certified staff (who should have been trained on the Conduct Rules prior to 9th December 2019).
Topics covered may include but are not limited to: