FSMA requires firms to notify their employees about the Conduct Rules and ensure they understand what the Conduct Rules mean for them. This SMCR: Conduct Rule Training is a slide pack complete with a verbatim script for the trainer. Complete with additional background notes in square brackets for the speaker including links to regulatory sources.


This training session is aimed at the front office and so is succinct, practical and has places for you to simply insert your own firm's branding and inhouse terminology. It avoids use of regulatory jargon and legal terminology, where that is unavoidable the terms are explained either in the slides or speaker notes.


The training covers:

  • Overview of the SMCR
  • The Conduct Rules
  • Misconduct
  • What it means for us
  • Who to talk to


The section on misconduct includes 4 enforcement case studies, with references to the actual underlying Final Notices for the speaker. Plus 4 further case studies to illustrate different types of misconduct that may or may not be reportable or notifiable to the regulators.


The slides are in plain background and black and white, ready for you to apply your corporate branding. Slides and speaker notes are fully editable by you with standard MS Office fonts and graphics.


A train the trainer session can be booked separately by sending us a Training Request form.

Conduct Rules Training Slides and Script


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