The Individual Conduct Rules
This course provides a brief overview of the Senior Managers & Certification regime (SMCR) which is the individual accountability regime that applies to firms authorised under the Financial Service & Markets Act 2000 (FSMA).
£75.00
Full Description
This course covers:
- An brief overview of the Senior Managers & Certification regime
- The Individual Conduct Rules
- A more detailed view of Conduct Rule 6 imposed under the Consumer Duty
- What would be a breach of a Conduct Rule
- When a breach of a Conduct Rule should be reported to the Financial Conduct Authority
