Meeting Conduct Rules Course

The Conduct Rules are a fundamental aspect of the SMCR. They play a critical role in fostering personal accountability within the financial services sector.

These rules ensure that your actions and professional conduct align and that staff in key jobs are fit and proper, trained and competent to perform their roles.

Our Meeting Conduct Rules course explores the significance of these rules, where staff learn how the rules apply to practical situations in their role.

About this Course

This SCORM-compatible course is part of our SMCR Course Library.

Learning objectives

This course will help your Conduct Rule employees to:

Recall the FCA Conduct Rules
State to whom the FCA Conduct Rules apply
Explain how the FCA Conduct Rules apply in practice
Describe how you will comply with the Conduct Rules in your role

Latest course updates

Major revision and update of course
Adapted to incorporate the FCA's Consumer Duty
Addition of a sixth Individual Conduct Rule

Course Outline

Introduction

What are the Conduct Rules?

The Senior Manager & Certification Regime

- The Individual Conduct Rules
- Overlap in Conduct Rules

Individual Conduct Rule 1

- You decide: Are they acting with integrity?

Individual Conduct Rule 2

- You decide: Are they acting with due skill, care & diligence?

Individual Conduct Rule 3

- You decide: Are they being open and cooperative?

Individual Conduct Rule 4

- You decide: Are they having regard for the interests of customers & treating them fairly?

Individual Conduct Rule 5

- You make the call: Are they observing proper standards of market conduct?

Individual Conduct Rule 6

- You decide: Are they acting to deliver good outcomes for retail customers?

Summary

Affirmation

Assessment

Course Specifications

Structure

Approximately 25-minute long e-learning course followed by a 10-question assessment.

Audience

Suitable for all staff - examples and interactivities designed for staff at all levels. No previous knowledge or experience is required.

Design

SHARD-compliant, responsive display on all devices, accessibility on screen readers, visual design controlled via your client style sheet.

Compatibility

All Windows, Mac OSX, iOS, Android (Flash-free for mobile compatibility). AICC and SCORM 1.2-compliant, suitable for both hosted and deployed SCORM or AICC.