Learning Platform - "Trade Compliance & Surveillance"

Course: Conduct Rules

About the online training programme

This training covers the fundamentals of the Conduct Rules, which are part of the Senior Managers and Certification Regime (SM&CR). During the course it is explained what types of Conduct Rules there are and to which professionals these apply.

Course content

This training includes the following topics:

• Who?
  • Senior Managers
  • Certified Person
  • All non-ancillary staff
• Code of conduct
  • Cocon
• Reporting of breaches
  • FCA
  • PRA
• Conduct rules
  • Tier 1 rules
  • Tier 2 rules
• Taking responsibility
  • Risk culture
  • Risk governance