1
Type
Speaker
CPD Hours Level
Seminar 6 AdvancedInformation

Introduction

All FCA authorised firms must ensure that their staff are trained on new Conduct Rules which come into force in 2019.

The Conduct Rules set minimum standards of individual behaviour in financial services. They will apply to all employees who perform financial services activities in a firm.

The new rules are a fundamental part of the Senior Managers & Certification Regime, which aims to reduce harm to consumers by making individuals more accountable for their conduct and competence.

Some Conduct Rules will apply to all employees, while others will only apply to senior managers and non-executive directors.

This full day advanced level course will explore the new Individual Conduct Rules, which will apply to virtually all staff, and the Senior Manager Conduct Rules, which will apply in full to senior managers and partially to non-executive directors.

It is suitable for senior managers, non-executive directors, compliance officers and human resources personnel with responsibility for implementing the new training requirements.

What You Will Learn

The course will explore each of the following new Individual Conduct Rules and Senior Manager Conduct Rules in detail and take learning points from FCA guidance and enforcement action against firms and senior managers:

  • Individual Conduct Rules:
    • Rule 1: ‘You must act with integrity’
    • Rule 2: ‘You must act with due care, skill and diligence’
    • Rule 3: ‘You must be open and cooperative with the FCA, the PRA and other regulators’
    • Rule 4: ‘You must pay due regard to the interests of customers and treat them fairly’
    • Rule 5: ‘You must observe proper standards of market conduct’
  • Senior Manager Conduct Rules:
    • Rule SC1: ‘You must take reasonable steps to ensure that the business of the firm for which you are responsible is controlled effectively’
    • Rule SC2: ‘You must take reasonable steps to ensure that the business of the firm for which you are responsible complies with the relevant requirements and standards of the regulatory system’
    • Rule SC3: ‘You must take reasonable steps to ensure that any delegation of your responsibilities is to an appropriate person and that you oversee the discharge of the delegated responsibility effectively’
    • Rule SC4: ‘You must disclose appropriately any information of which the FCA or PRA would reasonably expect notice’
  • Discussion forum - The course will provide a forum to discuss how the new Conduct Rules will apply to specific roles within firms.

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Seminar | 26.07.2019

London | 9:30am - 5:15pm


FCA Compliance - New Conduct Rules for Senior Managers & Non Executive Directors

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Jul
26
2019
London
9:30am - 5:15pm
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Seminar | 30.07.2019

Manchester | 9:30am - 5:15pm


FCA Compliance - New Conduct Rules for Senior Managers & Non Executive Directors

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Jul
30
2019
Manchester
9:30am - 5:15pm
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Seminar | 11.09.2019

Bristol | 9:30am - 5:15pm


FCA Compliance - New Conduct Rules for Senior Managers & Non Executive Directors

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Sep
11
2019
Bristol
9:30am - 5:15pm
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Prices (ex VAT)
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Plan Information
£250
Season
Ticket Information
£375
Standard
£500
Group bookings
Discounts are available for multiple places and if you have 5 or more people interested in this course and would like to discuss holding it in your area or on an in-house basis then please email us at information@mblseminars.com
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