An Introduction to the Individual Conduct Rules


The main focus of the new regime is to spread the responsibility and accountability for complying with the FCA rules to all eligible employees of a firm not just the Directors and Owners but also to Senior Managers and wider members of staff.

The aims of the module are to:

  • Understand the importance of the Individual Conduct Rules for yourself and your Senior Managers.
  • Be able to identify the 5 Individual Conduct Rules which apply to all eligible staff of authorised firms. (Tier 1)
  • Be able to identify the 4 additional Individual Conduct Rules that apply to Senior Managers of authorised firms. (Tier 2)
  • Obtain an overview of the FCA’s expectations of you in implementing the Individual Conduct Rules.
  • Examples of what could be a breach of the Individual Conduct Rules
  • Identify how the Individual Conduct Rules apply to your role.
  • Be given example scenarios that show how not to abide by the rules.

The Financial Conduct Authority expect authorised firms to ensure that their staff have the knowledge and skills to enable them to operate compliantly and treat their customers fairly.

It is important that employees are kept up to date with regulatory changes and that their knowledge is refreshed on a regular basis, eLearning is a cost-effective way of doing this.









SKU: ICR Category:











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