Conduct Rules for All Staff
Refreshed August 2025 | CPD time: 1 Hour
This module examines the individual Conduct Rules and the Code of Conduct which apply to all staff engaged in regulated activities as part of the Senior Managers and Certification Regime. It investigates the key issues arising from the individual conduct rules and their implications. It sets out who is in scope and also explains a firm's obligations regarding training, breaches and reporting.
1. Conduct Rules as Part of the SMCR and Who is in Scope
2. The Individual Conduct Rules
3. Senior Management Conduct Rules and Training
4. Breaches, Reporting and Obligations
Module Test