FCA Conduct Rules Training for Senior Managers E-Learning
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Author: Robert Bell
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Level: Senior
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Study time: 30 mins
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Course overview
Regular refresher training for Senior Managers is critical. The FCA review their expectations every few months via thematic reviews and research.
This training sets out the basics of the Conduct Rules and introduces recent FCA findings and concerns through the lens of the Conduct Rules.
This training sets out the basics of the Conduct Rules and introduces recent FCA findings and concerns through the lens of the Conduct Rules.
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Video time: 7 mins 30 seconds
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Exams: 1
What's included?
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4 Chapters
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1 Certificate
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17 Questions
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4 Videos
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4 Presentations
Interpret the Rules in practice
As a Senior Manager, your time is important. This course provides a foundational overview of the Conduct Rules for Senior Managers,
Explaining the rules through practical examples, this course makes clear how to maintain compliance with the Duty of Responsibility.
Explaining the rules through practical examples, this course makes clear how to maintain compliance with the Duty of Responsibility.
What You'll Learn
- Tier 1 and Tier 2 of the Conduct Rules.
- The FCA's expectations around your Duty of Responsibility.
- How recent enforcement action reflects the FCA's priorities.
- Practical compliance with the Rules.
- Upcoming changes to the SM&CR.
Robert Bell
Compliance Expert, instructor, writer.
ABOUT Robert
Robert Bell has over 17 years of experience in FCA compliance. Graduating with LLB in Law, Robert has a wealth of on-the-ground experience with financial services firms of all types and sizes.
As a compliance consultant, he has supported a number of firms in achieving FCA authorisation and helped organisations weather the storms of the changing compliance landscape over the past two decades.
Working with the CSA, MBL and MALG, he enjoys helping learners and experts alike to build best practice, particularly in newly emerging areas of regulation and law. He is the author of “A Practical Guide to the Financial Conduct Authority (FCA) Consumer Duty – Law Brief Publishing” (2024).
As a compliance consultant, he has supported a number of firms in achieving FCA authorisation and helped organisations weather the storms of the changing compliance landscape over the past two decades.
Working with the CSA, MBL and MALG, he enjoys helping learners and experts alike to build best practice, particularly in newly emerging areas of regulation and law. He is the author of “A Practical Guide to the Financial Conduct Authority (FCA) Consumer Duty – Law Brief Publishing” (2024).