Summary
“This course focuses on the Conduct Rules applicable to individuals who carry out Senior Management Functions for general insurance intermediary firms (Senior Managers). It may also be relevant to senior personnel in other financial services intermediary firms.
Whilst the course includes a brief overview of the Senior Managers and Certification Regime (SM&CR), it is recommended that learners first complete the SM&CR e-learning module which includes a fuller explanation of the SM&CR requirements.
The course refers to the implications for “Core” organisations. The requirements vary for “Limited Scope” firms and for larger “Enhanced” firms. For full details of the requirements please refer to the FCA https://www.fca.org.uk/publication/policy/guide-for-fca-solo-regulated-firms.pdf”
By the end of this course you will:
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
