The Individual Conduct Rules

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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).

The content is relevant to individual conduct rules staff in limited scope or core firms, acts as a refresher course and includes Conduct Rule 6. It does not cover the Senior Conduct Rules.

It assumes a basic knowledge of financial services regulation and that participants have undergone training on the Consumer Duty.