The aims and objectives of this module are that by the end of the module you will:
- Understand the importance of the new Conduct Rules for yourself and staff.
- Be able to identify the 4 Senior Managers Conduct Rules. (Tier 2 )
- Be able to identify the 5 Individual Conduct Rules which apply to you and your staff. (Tier 1)
- Obtain an overview of the FCA’s expectations of you and your employees in implementing the Conduct Rules.
- Be given examples of what could be a breach of the Conduct Rules.
This module is aimed at Senior Managers subject to the SM&CR regime and looks specifically at how the FCA expect you to conduct yourself in the management and oversight of your authorised firm.