New SMCR Conduct Rules for Senior Managers & Non-Executive Directors - Know Your New Responsibilities
New FCA Conduct Rules came into force for all FCA-authorised firms in December 2019, making virtually all staff more accountable for their actions and setting minimum standards of personal behaviour.
Firms must train their staff on the Individual Conduct Rules and, additionally, they must train their senior managers and non-executive directors on the Senior Manager Conduct Rules.
This webinar is suitable for senior managers and non-executive directors at FCA authorised firms.
You will learn about this important part of the Senior Managers & Certification Regime and about the FCA’s heightened expectations of senior managers and non-executive directors.
What You Will Learn
This webinar will:
- Examine each of the new Senior Manager Conduct Rules in detail
- Illustrate the new rules through recent FCA disciplinary proceedings
- Explain how the FCA will determine whether a senior manager is responsible for a business area and whether they have taken ‘reasonable steps’
This webinar was recorded on 17th October 2019