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The Training Environment For Financial Services
You are looking at one of our in-house courses. Many of our in-house programmes are also available as open courses on specific dates. Click here to see our open course calendar.
One of the ongoing challenges facing firms is ensuring staff at all levels are fully aware of how they can be held to account individually for what they do. In practical terms, this means firms need to make all staff aware of their individual obligations under the Conduct Rules, whilst ensuring that their Senior Managers and Certified staff remain Fit and Proper to carry out their roles.
These obligations are framed by the Senior Managers and Certification Regime (SMCR), but the requirements have become more complex as the regulatory landscape has evolved and the SMCR has matured. The implementation of the Consumer Duty and increased clarity about non-financial misconduct present opportunities for increasing individual awareness of the Conduct Rule requirements and the Fit and Proper criteria, but at the same time broaden the range of issues which need to be understood.
This focused course will help firms meet these challenges by helping them deliver relevant, effective and engaging Conduct Rules training to their staff and establishing enhanced arrangements for assessing Fitness and Propriety.
This practical workshop has been designed for those in Compliance, Human Resources and the Learning & Development functions who have responsibility for ensuring the effectiveness of their firm's Fit and Proper assessments and Conduct Rules training arrangements. It is also suitable for Line Managers and Supervisors, by equipping them with the tools and techniques needed to deliver relevant Conduct Rules training to their direct reports. The course is suitable for participants from both dual-regulated (PRA and FCA) and solo-regulated (FCA) firms, participating in either the retail or non-retail (institutional/wholesale) markets.
