This course is designed to help managers, supervisors and compliance staff to put together effective learning sessions so that they can help their teams understand the Conduct Rules in the context of their business and integrate the Conduct Rules into routine performance management.
The Conduct Rules lie at the heart of the Senior Managers and Certification Regime (SM&CR). Despite the turmoil and uncertainties caused by Covid-19, the FCA’s Business Plan for 2020-2021 states that: “We expect all solo-regulated firms to comply with the requirements of the SM&CR as they fall due.The regime aims to see firms across financial services foster healthy cultures where conduct and fair customer outcomes are at the forefront of their business.”
These requirements include the obligation that all staff are fully trained on the Conduct Rules and understand how these Rules impact their job roles. Firms must complete this training by 9th December 2020 at the latest. This course will help firms meet this deadline.
Attendance at this course will enable you to:
- Understand how to make the Conduct Rules relevant for your staff.
- Consider how to position the Conduct Rules in the context of your firm’s style and business model.
- Recognise appropriate methods for conducting successful Conduct Rules training.
- Identify how to secure understanding of the Conduct Rules.
- Obligations of the firm for overseeing the Conduct Rules as part of the SM&CR
- The Individual Conduct Rules and the Code of Conduct
- The messages to communicate
- The delivery environment
- Achieving learner engagement
- How to make it real
Course aimed at: Managers, supervisors, compliance, risk and HR specialists and any others who are expecting to be leading sessions or events about the Conduct Rules for their firm’s staff.
Further support: This course can be delivered as an instructor lead course for a firm’s staff on an in-house basis. This enables the content to be tailored to reflect the conduct issues which are most relevant to the firm’s business model.
If you would like to discuss your training requirements in more detail please contact ACA's Training Team on +44 (0)20 7042 0500 or your usual ACA consultant.