09 Feb 2021, remote delivery
10:00am to 12:00pm
Course fees: £125.00 + vat per person
Savings for multiple registrations
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 31 March 2021 at the latest.
This 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 delegates to:
All staff subject to the Conduct Rules from 31 March 2021. The course is equally appropriate for established staff and for recent 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).
** The core agenda addresses the five Individual Conduct Rules and the Senior Managers Conduct Rules are only given a passing mention. For participants who are (or may soon be) approved as Senior Managers, there will be a short, supplementary session to look at the Senior Managers Conduct Rules in more detail. There will be no charge for this supplement which is offered to all participants. It will follow-on from the end of the main session after a short break and last approximately 20 minutes.
This course can be delivered in-house at a time and location to suit your business and tailored to suit your people and organisation. We can also create bespoke training when something very specific is needed.Please contact us to discuss your requirements in more detail and at no obligation.