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.