SM&CR: 6 Conduct Rules for Financial Services Staff

Introduction

The FCA’s Conduct Rules are constantly evolving. Originally, they set minimum standards of personal behaviour and made staff more accountable for their actions but are now being used more widely.

This bitesize webinar will examine enforcement action taken against the rules, together with recent changes in respect of non-financial misconduct as well as feedback from the FCA to understand how the rules apply to your staff - both senior managers and generally.

It is suitable for staff at FCA-authorised firms at all levels.

What You Will Learn

This short webinar will cover the following:

• An examination of each of the following Individual Conduct Rules, illustrated 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’
• Rule 6: ‘You must act to deliver good outcomes for retail customers’
• Best practice when applying the conduct rules and meeting training requirements
• Non-financial misconduct and FCA feedback

This pre-recorded webinar will be available to view from Friday 29th January 2027

Alternatively, you can gain access to this webinar and 2,400+ others via the MBL Webinar Subscription. Please email webinarsubscription@mblseminars.com for more details.