Webinar Event: Expert Guidance on Launching the Conduct Rules in During the Covid-19 Crisis
In May 2020 we ran an online webinar on the subject of implementing and embedding the FCA Conduct Rules during the Covid crisis.
Under the Senior Managers & Certification Regime, firms have to put in place arrangements to comply with the SM&CR Conduct Rules requirements and to train all employees in the conduct rules. FCA Solo-Regulated firms are required to complete this training by 9th December 2020. Banks and insurance firms which have already implemented this should be carrying out regular monitoring of compliance with the Conduct Rules and annual refresher education.
Gary Storer, CEO Enterprise Learning
Neil Baines-Thomas Principal Consultant, SM&CR and Conduct Rules
Dawn Laycock Principal Consultant, SM&CR and HR
· Understanding the Conduct Rules, their place in the SM&CR and FCA requirements
· FCA Conduct Rules and requirements for training and continuous monitoring
· Integrating the Conduct Rules into your HR and training processes
– Fit & Proper Recruitment and referencing
– Induction training
– Performance management
– Employee Handbook
– Disciplinary processes and breaches of the Conduct Rules
– Senior Management and Certified Persons appointment and performance management
· Understanding the Conduct Rules, with case studies and examples
· What do the Conduct Rules mean for team leaders and managers?
Please look out for further emails from us, giving details of further Webinars during the Covid-19 lockdown. With guest speakers to be announced.