This course provides a focussed overview of the Individual Conduct Rules for which annual training is required, for individuals working at UK branches of non-EEA banks 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 aim of SMCR in relation to staff at UK Branches of non-EEA Banks
• 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 these 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
- 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?
- 80% Pass Mark
- Further information & downloading your certificate
The price for this course:
£30.00 excl. VAT