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.
Questions, questions…
Paul Jay Compliance 2023, FCA, Periodic Review, PI, platform, training, vulnerable, Xplan
As a result of firms needing to implement Consumer Duty this year (and many still don’t appear to have their act together yet), there hasn’t been much output from the regulator in the latter half of 2023. That has changed. In recent weeks the FCA seems to have issued more paper than confetti at a […]