Course description
Delivering Effective Conduct Rules Training (Live Online)
With the Senior Managers and Certification Regime (SMCR) now fully implemented as part of “business as usual”, one of the ongoing challenges facing firms is how to comply with their training obligations in respect of the Conduct Rules.
Staff need to have an awareness and broad understanding of the rules and be reminded of them often. In addition, they need to have a deeper understanding of the practical application of the specific rules relevant to their work. The FCA has set out clear expectations in this area, warning firms that generic e-learning or presentations are unlikely to be sufficient.
This focused course will help firms meet the challenge of delivering relevant, effective and engaging Conduct Rules training across their organisation.
Suitability - Who should attend?
This practical workshop has been designed to equip Line Managers and Supervisors with the tools and techniques needed to deliver relevant Conduct Rules training to their direct reports. It is also suitable for those in Compliance, Human Resources and the Learning and Development functions who have responsibility for ensuring the effectiveness of their firm’s Conduct Rules training arrangements. This course is suitable for participants from both dual-regulated (PRA and FCA) and solo-regulated (FCA) firms, participating in either the retail or non-retail (institutional) sectors.
Outcome / Qualification etc.
CPD hours: 3
- Bring the Conduct Rules to life and make them relevant for your staff
- Position the Conduct Rules in the context of your firm’s style and approach to business
- Highlight the role of the Conduct Rules in delivering Conduct Duty obligations
- Achieve buy-in to the Conduct Rules from others
- Understand what the regulators expect firms and senior managers to do to meet their Conduct Rules training obligations
- Apply appropriate methods for conducting successful Conduct Rules training
- Take steps to ensure understanding of the Conduct Rules
Course delivery details
This course will be delivered via a real time slide sharing and live audio-visual platform, accessible by desktop computer, laptop, tablet or smartphone. Participant numbers will be limited to ensure a high-quality learning environment.
Reviews
Average rating 4.8
Engaging group participation encouraged to share experience and knowledge. Good cross section of financial instituations attended. Presenter extremely knowledgeable
Topical subject with knowledgeable trainer. Easy to align and understand to your own firm
Expenses
Course fees: £475.00 + vat per person
An informative course that left delegates with plenty to think about and practical suggestions for improving delivery of conduct rules training.