Individual Accountability Regime - Conduct Rules



Course Outline

The course provides a practical guide to the Conduct Rules and is suitable for those in Senior Manager and Certification Functions as well as Other Conduct Rule Staff across the firm.

Introduction

  • Overview of the Individual Accountability Regime
  • How the Conduct Rules fit in to the regime
  • How the Conduct Rules support and complement other Conduct training messages

Conduct Rules FAQs

  • Do the Conduct Rules apply to me?
  • What has happened to the Approved Persons Regime?
  • What happens if I breach a Conduct Rule?

The Conduct Rules

  • Content and aim
  • Role-specific illustrative examples
  • Optional Senior Manager content

Putting the Conduct Rules into Practice

  • A series of practical exercises to test understanding and re-inforce the key messages
  • Can be tailored on request

Further Information

Format

SCORM 1.2 compliant. HTML/CSS/Jquery.

Implementation

This course runs on any SCORM compliant LMS platform. JavaScript must also be enabled and all pop-up blockers disabled. Requires IE7 or above.

Course Overview

The course provides a practical guide to the Conduct Rules and is suitable for all employees of Relevant Firms.

Individual Accountability Regime - Conduct Rules Request a trial Demo Courses Print pdf

Details

Learning outcomes:

  • Understand the aim and architecture of the Individual Accountability Regime
  • Understand the content of the Conduct Rules and how they apply to their role
  • Understand the breach reporting requirements
  • Understand the consequences of breaching the Conduct Rules

Audience:

The course is suitable for all staff of Relevant Firms at all levels.

Course duration:

25 minutes.

Assessment:

A short randomised question bank can be included and tailored upon request.


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