11th December 2018 – The FCA Code of Conduct Rules: Understanding and Complying with COCON

Time: 3.00pm to 5.00pm

Cost: £299 + VAT

Location: Cordium UK offices, 130 Jermyn Street, London, SW1Y 4UR

Course Overview:

From 7 March 2017, the obligation to comply with the Code of Conduct rules will be expanded to include almost all staff involved in any form of regulated activity in organisations within the scope of the Senior Managers and Certification Regime (“SMCR”).

Course Objectives:

This course is aimed at explaining the COCON rules in practical terms and clarifying what is expected of organisations and individuals.  To provide delegates with:

  • The ability to explain the COCON rules: how they impact the firm and individuals
  • An enhanced understanding of the application and scope of the COCON rules
  • Clarity on the application of the individual conduct rules to a variety of specific job roles
  • Guidance on practical ways to comply with the rules
  • The potential impact for non-compliance

Key topics:

  • Why COCON? – the increasing focus on individual accountability and senior managers
  • The scope and application of COCON
  • The conduct rules which apply to all staff
  • The link to the SMCR – Conduct rules relating to Senior Managers and Non-Executive Directors: Skill, care and diligence – conduct rules for managers and team leaders
  • Factors for assessing understanding and compliance
  • How to ensure compliance

Course aimed at: Senior Management, Certified and non-certified individuals, Risk, Compliance and Internal Audit specialists, Human Resources and Learning and Development specialists.

This course can be delivered onsite or as an instructor lead course at a firm’s office.

If you would like to discuss your training requirements in more detail please contact Graham Dix on 020 7484 3987 or your usual Cordium consultant.