UK Branches of EEA Banks:
SMCR Conduct Rules

The price for this course: $45.00

UK Branches of EEA Banks:
SMCR Conduct Rules

The price for this course: $45.00

Course duration 30 mins

CPD points 0.5 points

This course provides a focussed overview of the Individual Conduct Rules for which annual training is required, for individuals working at UK branches of EEA banks who are subject to SMCR, but are neither Senior Managers nor subject to the Certification Regime.

This course can be applied as both an ‘introductory’ course and a ‘refresher’ course.

Purchasing, Onboarding & Volume Discounts

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Number of courses Volume Discount
10 – 24 courses 2.5% discount
25 – 49 courses 5% discount
50 – 99 courses 7.5% discount
100 – 149 courses 10% discount
150 – 199 courses 12.5% discount
200 – 249 courses 15% discount
250 – 299 courses 17.5% discount
>300 courses 20% discount

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Course outline
  • Introduction

    - Back to the future
    - The aims of SMCR
    - Three elements

  • Conduct Rules overview

    - Conduct Rules
    - Who must follow the Conduct Rules?
    - When do the Conduct Rules apply?
    - What is the standard of conduct that is expected of me?
    - Check your understanding

  • The Conduct Rules in detail

    - Conduct Rule 1: You must act with integrity
    - Conduct Rule 2: You must act with due skill, care and diligence
    - Conduct Rule 3: You must be open and cooperative with the FCA, the PRA
    - and other regulators
    - Conduct Rule 4: You must pay due regard to the interests of customers and treat them fairly
    - Conduct Rule 5: You must observe proper standards of market conduct

  • What are the risks to you?

    - Internal disciplinary action and reporting breaches to the regulators
    - Regulatory sanctions
    - What else should you be aware of?

  • Quiz

    - 80% Pass Mark

  • Conclusion

    - Conclusion
    - Further information & downloading your certificate

The price for this course:

$45.00

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