New SMCR Conduct Rules for Financial Services Staff - Ensuring FCA Compliance
New FCA Conduct Rules come into force for all FCA-authorised firms in December 2019 which will make virtually all staff more accountable for their actions and set minimum standards of personal behaviour.
Firms must train their staff on the new Conduct Rules and this webinar is suitable for staff at FCA authorised firms at all levels.
You will learn about this important part of the Senior Managers & Certification Regime and about the FCA’s heightened expectations of staff at all levels.
What You Will Learn
This webinar will examine each of the following new Individual Conduct Rules and illustrate them through recent FCA disciplinary proceedings:
- 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’