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
- What it means for us
- Who to talk to
The section on misconduct includes 4 enforcem