Code of Conduct

In this webinar we tackle the obligations and behavioural standards set under the FCA COCON rules for all staff involved in regulated activities. We will get an understanding of the background and context of the rules and take a look at examples of them in practice, their application, as well as what breaches could look like for intermediaries and brokers.

• Understand the requirements of the FCA Code of Conduct rules• Understand the purpose of the rules and recognise examples of their application and breaches• Be able to recognise the impacts of breaching the COCON rules, as well as the reporting and record-keeping requirements for firms