• Course
    Conduct Rules Training - General Staff (CRGSOL)
  • Dates
  • Venue
  • Course Fees (excl. VAT)
  • CPD Credits
    1.5 hours

Total Price:

Get this course in-house
Or call 0203 178 4230
or email info@fstp.co.uk today.

Course Overview


If you are a solo-regulated firm, you have 8 months left to complete  a number essential tasks including providing role-specific Conduct Rules training to all your employees (except SMFs and Certificated staff – who should have been trained already – and those who come within the category of ‘Ancillary’ staff)
 

The FCA has made it clear that generic Conduct Rules training will not be sufficient to meet the requirements set out in the Financial Services and Markets Act. Role-specific training is the way to ensure that you are staying on the right side of the law.

Understandably, COVID-19 is creating a huge amount of noise at the moment, but this will pass. When it does, 9 December 2020 will still be a date in your diary! Now is the time to ensure that your arrangements are put in place and that employees really understand how Conduct Rules 1-5 apply to the role they perform and what is required of them. 
 
This online session can be tailored to your specific requirements. We will work with you to develop role-specific case studies that are fine-tuned to your business and the way it operates.
 
We are able to break larger groups of participants into sub-groups during the session which allows us to cover several job-types in one go, with each syndicate being tasked with considering a tailored case study that relates directly to the role they perform in your business. Not only that, but each syndicate group may be facilitated remotely by the trainer(s) to ensure that the learning is properly reinforced.

Agenda

Overview of the Conduct Rules (Plenary session)

  • Introduction to Conduct Rules and why we have them
  • The relevance of Conduct Rules to the Senior Managers & Certification Regime (SMCR)


How the Conduct Rules apply in practice (Syndicate session)

  • Syndicate group to consider a role-specific case study regarding practical application of the Conduct Rules


Review of syndicate activities (Plenary session)

  • Syndicates to provide feedback to the plenary group on outcomes of their discussions


Questions, answers and key learning points (Plenary Session)

  • Addressing and questions arising from the session
  • Considering key learning points to take away from the session
Get this course in-house

Or call 0203 178 4230 or email info@fstp.co.uk today.

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Meet The Tutor

Who is this course for?

Conduct Rules staff who either need their annual refresher training of COCON or those from a solo regulated firm who need to complete this compulsory training for the first time before 9th December 2020. 
'The trainer was very knowledgeable on the subject and made what could have been a heavy subject easier to digest'

Regional Manager
Finance and Leasing 

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Sessions are practical workshops not PowerPoint lectures. All courses are limited to no more than 14 attendees, so we’re able to explain concepts in the context of your business.

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