Course 4: SM&CR – Senior Manager Conduct Rules

£75.00

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: CM001-1 Category:

Description

The aims and objectives of this module are that by the end of the module you will:

  1. Understand the importance of the new Conduct Rules for yourself and staff.
  2. Be able to identify the 4 Senior Managers Conduct Rules. (Tier 2 )
  3. Be able to identify the 5 Individual Conduct Rules which apply to you and your staff. (Tier 1)
  4. Obtain an overview of the FCA’s expectations of you and your employees in implementing the Conduct Rules.
  5. Be given examples of what could be a breach of the Conduct Rules.

Modules

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.

 

 

 

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