The FCA Code of Conduct Rules: Understanding and Complying with COCON - 24 September 2019

Date: 
24 September 2019 - 10:00am - 12:00pm BST
Type: 
Training (London)
Division: 
ACA Compliance (Europe)
Location: 
ACA Compliance (Europe) Limited 130 Jermyn Street London SW1Y 4UR
Cost: 
£299 + VAT

Course Overview:

From 9th December 2019 the extension of the SM&CR will mean that senior managers and certification staff in all regulated financial services industry firms will need to comply with the Conduct Rules.

Firms will then have 12 months before the Conduct Rules are expanded to cover all but ancillary staff.

This course is aimed at explaining the COCON rules in practical terms and clarifying what is expected of organisations and individuals.

Course Objectives:

This course is aimed at explaining the COCON rules in practical terms and clarifying what is expected of organisations and individuals.  To provide delegates with:

  • The ability to explain the COCON rules: how they impact the firm and individuals
  • An enhanced understanding of the application and scope of the COCON rules
  • Clarity on the application of the individual conduct rules to a variety of specific job roles
  • Guidance on practical ways to comply with the rules
  • The potential impact for non-compliance

Key topics:

  • Why COCON? – the increased focus on individual accountability
  • The scope and application of COCON
  • The conduct rules which apply to all staff
  • The link to the SMCR – Conduct rules relating to Senior Managers and Non-Executive Directors: Skill, care and diligence – conduct rules for managers and team leaders
  • Factors for assessing understanding and compliance
  • How to ensure compliance

Course aimed at: Senior Management, Certified and non-certified individuals, Risk, Compliance and Internal Audit specialists, Human Resources and Learning and Development specialists.

This course can be delivered onsite or as an instructor lead course at a firm’s office.

If you would like to discuss your training requirements in more detail please contact Graham Dix on +44 (0)20 7484 3987 or your usual Cordium consultant.