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.
FG 21/3 – client objectives
Alistair MacDougall Compliance Drawdown, FCA, ML, Pension, Pension Transfer, PI, transfer
Following on from our previous articles on FG21/3, we will look today at another of the interesting areas covered by the guidance. It goes without saying that the guidance itself is helpful, reiterating and emphasising previous rules and guidance and clarifying some areas that were arguably fuzzy before. However, as well as the actual content, […]