This course provides a focussed overview of the Individual Conduct Rules for which annual training is required, for individuals working at Limited Scope Firms who are subject to SMCR, but are neither Senior Managers nor subject to the Certification Regime.
On completion of this course, you will:
• Understand the aims of SMCR
• Attain a high-level understanding of the three areas of SMCR: Senior Managers Regime, Certification Regime and Conduct Rules
• Have a sound understanding of the Conduct Rules and how they apply to you
• Understand the risks of contravening the Conduct Rules
• Achieve 0.5 CPD points
This course can be applied as both an ‘introductory’ course and a ‘refresher’ course.
Purchasing, Onboarding & Volume Discounts
The aims of SMCR
Three Elements of SMCR
- Senior Managers Regime
- Certification Regime
- Conduct Rules
Conduct Rules Overview
- Who must follow the conduct Rules?
- What is the standard of conduct expected of me?
- Regulatory references
The Conduct Rules in detail
What are the risks to you?
- Internal disciplinary action
- FCA breach reporting
- FCA sanctions
- What else you should be aware of?
- Designed by Experts
- Compatible on multiple devices
- E-Learning modules available offline
- Tailor any module to your needs
- Trackable testing & administrative tools
- Bespoke implementation on our LMS or yours
The price for this course:
£25.00 excl. VAT