The FCA has published a video on its website relating to Conduct Rules. The video is only 1.5 minutes so clearly is not intended as a standalone training video but it should help firms with Conduct Rules training, and to understand expectations of best practice, and training staff on how they apply to their roles.
SM&CR requires firms to train relevant staff on how the Conduct Rules apply to their roles and the explainer video sets out the key things to consider for training.
More information on SM&CR for solo-regulated firms, including details of extensions to deadlines, is available on the FCA website.
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Paul Jay Compliance assessment tool, Conduct, DB Pension, DBAAT, Defined Benefit, FCA, FOS, Pension, PI, Senior Manager, SM&CR, Switch, transfer
Most firms will have at least vague recollections of the FSA’s thematic review of pension switching and the report it produced in December 2008. It produced a flurry of activity, but as time has elapsed it has perhaps become a distant memory, despite the high volumes of replacement business that have been and continue […]