DESCRIPTION
This course focuses on the Conduct Rules introduced as part of the Senior Managers and Certification Regime (SM&CR) as they apply to staff working for general insurance intermediaries and other financial services intermediary firms.
Whilst the course includes an overview of the new regime, it is recommended that learners first complete the SM&CR e-learning module which covers the wider SM&CR requirements.
A separate eLearning course for Senior Managers on the how the Conduct Rules apply to them is available on this platform.
OBJECTIVES
At the end of this course you should:
- Understand the significance of the Conduct Rules in Financial Services Regulation
- Know to whom and to what activities the Conduct Rules apply
- Understand how each of the Conduct Rules might affect you in practice
- Be aware of possible breach scenarios
- Understand what the FCA expects of firms in order to comply with the requirements, including the breach notification requirements
