Your Guide to Conduct of Business



Course Outline

Module 1: The Client Relationship

This module serves as an introduction to the main concepts. It looks at the interaction between the FCA Principles and Rules and the firm's policies and the regulatory themes arising from client relationships.

Module 2: New Clients

This module focuses on the regulatory, legal and reputational issues arising from the acceptance of new clients; client categorisation, due diligence, documentation and cross-border business.

Module 3: Communication and Reporting

This module focuses on the standard of care required by the FCA for a wide variety of client communications.

Module 4: Advice and Dealing

This module focuses on the role of the front office in the client relationship. The module examines the concepts of suitability and appropriateness and the aspects of COBS relating to the receipt and execution of orders.

Further Information

Format

SCORM 1.2 compliant.The course uses Adobe Flash.

Implementation

The course runs on any SCORM compliant LMS platform. Adobe Flash Player v6 (or later) must be installed in the web browser. JavaScript must be enabled and pop-up blockers disabled.

Course Overview

This course provides an introduction to the conduct of insurance business with clients. It is divided into four short modules.

Your Guide to Conduct of Business Request a trial Demo Courses Print pdf

Details

Learning outcomes:

By the end of the course, the learner will understand;

  • how the FCA Rules and Principles fit with their firm's policies and procedures
  • the importance of client care and treating clients fairly from a regulatory perspective
  • the regulatory duties owed to different categories of clients

Audience:

The course is suitable for all staff in the financial services industry. It is especially useful for those staff concerned with investment business, in a client facing role or in the middle or back office.

Course duration:

Each module is approximately 15 minutes.

Assessment:

Each module concludes with a multiple choice test.


« BACK