We can run this course inhouse or privately just for you and your colleagues.
Please submit a training request to check availability and prices.
About the Course
Our course will help you to understand the importance of complying with the PRA and FCA Conduct Rules.
You will be able to understand the principles of good professional conduct at work whilst gaining a practical understanding of the Conduct Rules through case studies. Meaning that you will have an understanding of the consequences of breaching the Conduct Rules.
Complying with the PRA and FCA Conduct Rules is crucial. This course explains the rules, principles of good conduct, consequences of breach, and uses case studies to ensure learners are equipped to meet regulatory obligations.
Learning Outcomes
By the end of this course, learners will be able to:
Explain the purpose and importance of the PRA and FCA Conduct Rules.
Understand the key principles of good professional conduct at work.
Apply the Conduct Rules to real-life scenarios through case studies.
Recognize the consequences of breaching the Conduct Rules and how it affects them personally.
Course Outline
This training course is designed for individuals working in a financial services who may have limited understanding of regulators and regulations. The aim of this course is to provide an understanding of the seriousness and importance of good professional conduct at work and to help learners comply with the PRA and FCA Conduct Rules.
The course starts by explaining why the Conduct Rules are important and how they relate to the overall regulatory framework. It then walks learners through the Conduct Rules using case studies to provide practical examples of how to apply the rules in real-life scenarios. These case studies help learners to understand the key principles of good professional conduct at work, such as putting the customer first, and being transparent both internally and externally.
The course also covers what happens if something goes wrong, such as when a rule is breached, and the consequences of such a breach. This includes disciplinary action, reputational damage, and even legal consequences.
By the end of the course, learners will have a practical understanding of the Conduct Rules, and recognize the importance of complying with them to protect both the financial services and themselves.
Required Knowledge and Skills
The course is suitable for anyone in the financial services industry. This course can be adapted so that it specifically addresses individuals working in specific financial services roles such as risk and compliance, front, back, and middle office personnel, board members, and senior managers.
About Your Trainer
Zoe Keen
Zoe is a highly experienced finance professional with over 20 years of expertise in financial services Compliance. She has held various key roles, including Head of Public Side Advisory, Head of Central Compliance, Certifications, Control Room, and Surveillance.
With a deep understanding of UK and international regulations pertaining to investment financial services s, Zoe excels in senior management engagement, designing and implementing governance and risk frameworks, and overseeing comprehensive Compliance policies, procedures, and training programs.
As a Senior Consultant at Leaman Crellin, Zoe focuses on regulatory consulting and training, specialising in Environmental, Social, and Governance (ESG) and Sustainable Finance. She completed the University of Cambridge Sustainable Leadership Sustainable Finance course with an exceptional overall grade of 92%, showcasing her dedication and knowledge in the field. Zoe has cultivated a vast network of experts, including academics, scientists, policymakers, regulators, investors, financiers, and sustainable leaders, ensuring she stays up to date in this dynamic landscape.