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Conduct Rules (FCA regulated)

Study Academy

Summary

Price
£45 inc VAT
Study method
Online
Duration
1 hour · Self-paced
Access to content
1 year
Qualification
No formal qualification
Additional info
  • Exam(s) / assessment(s) is included in price
12 students purchased this course

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Overview

The new FCA Conduct Rules set basic standards of good personal behaviour for all staff at FCA authorised firms. They have been designed to ensure that the FCA can hold everyone who works in financial services personally accountable and responsible for their actions.

Description

The course will analyse the practical implications of those Conduct Rules that apply to all staff at FCA-authorised firms - the ‘Individual Conduct Rules’.

The Individual Conduct Rules require staff to:

  • Act with integrity
  • Act with due care, skill and diligence
  • Be open and cooperative with regulators
  • Pay due regard to the interests of customers and treat them fairly
  • Observe proper standards of market conduct

Learners will be equipped to recognise situations in which the Individual Conduct Rules would be engaged and avoid breaching the Individual Conduct Rules.

Who is this course for?

Individuals who work or aspire to work in an FCA/PRA regulated firm.

Questions and answers

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Olivia asked:

will this course enable me to be eligible to be registered by the fca. The job I applied for asked me to get a certification so they can register me

Answer:

Hi, I can confirm that our courses are valid for compliance and that the Financial Bundle would be more suitable in providing multiple courses including AML, TCF, GDPR, Conduct Rules and more. It may be worth confirming the topics you are required to cover as we might be able to help with any additional courses as well. In hope that helps

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Legal information

This course is advertised on reed.co.uk by the Course Provider, whose terms and conditions apply. Purchases are made directly from the Course Provider, and as such, content and materials are supplied by the Course Provider directly. Reed is acting as agent and not reseller in relation to this course. Reed's only responsibility is to facilitate your payment for the course. It is your responsibility to review and agree to the Course Provider's terms and conditions and satisfy yourself as to the suitability of the course you intend to purchase. Reed will not have any responsibility for the content of the course and/or associated materials.

FAQs

Study method describes the format in which the course will be delivered. At Reed Courses, courses are delivered in a number of ways, including online courses, where the course content can be accessed online remotely, and classroom courses, where courses are delivered in person at a classroom venue.

CPD stands for Continuing Professional Development. If you work in certain professions or for certain companies, your employer may require you to complete a number of CPD hours or points, per year. You can find a range of CPD courses on Reed Courses, many of which can be completed online.

A regulated qualification is delivered by a learning institution which is regulated by a government body. In England, the government body which regulates courses is Ofqual. Ofqual regulated qualifications sit on the Regulated Qualifications Framework (RQF), which can help students understand how different qualifications in different fields compare to each other. The framework also helps students to understand what qualifications they need to progress towards a higher learning goal, such as a university degree or equivalent higher education award.

An endorsed course is a skills based course which has been checked over and approved by an independent awarding body. Endorsed courses are not regulated so do not result in a qualification - however, the student can usually purchase a certificate showing the awarding body's logo if they wish. Certain awarding bodies - such as Quality Licence Scheme and TQUK - have developed endorsement schemes as a way to help students select the best skills based courses for them.
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