Course 5: An Introduction to the Individual Conduct Rules

£50.00

How to order

To Order this course, simply click on the add to cart button below.

After your payment is confirmed, you will be emailed a username/password and a link to a screen where you can logon.

Price is per user per year, (plus VAT)

If you would like to purchase more than one licence:- Then please call Tel 01423 522 599 or email info@thecompliancecompany.co.uk

 

 

SKU: ICR Category:

Description

Course Overview

One of the key elements of the SM&CR is that all eligible staff must be trained and understand how and why the 5 “Individual Conduct Rules” apply to their roles. All staff must be trained by the end of 2020 and firms are expected to be able to evidence for both themselves and the regulator.

The aims of the module are to:

    1. Understand the importance of the Individual Conduct Rules for yourself and your Senior Managers.
    2. Be able to identify the 5 Individual Conduct Rules which apply to all eligible staff of authorised firms. (Tier 1)
    3. Be able to identify the 4 additional Individual Conduct Rules that apply to Senior Managers of authorised firms. (Tier 2)
    4. Obtain an overview of the FCA’s expectations of you in implementing the Individual Conduct Rules.
    5. Examples of what could be a breach of the Individual Conduct Rules.
    6. Identify how the Individual Conduct Rules apply to your role.

Be given example scenarios that show how not to abide by the rules.
Examples of what could be a breach of the Individual Conduct Rules.

 

 

 

 

 

 

 

You may also like…