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UK FCA Code of Conduct Compliance Training - 5mins AI

UK FCA Code of Conduct Compliance Training

Master FCA conduct standards, SMCR requirements, and regulatory obligations with comprehensive compliance training

Why UK FCA Code of Conduct Training Is Essential

The FCA's conduct standards represent the foundation of professional behavior in UK financial services, establishing clear expectations for individual accountability and firm culture. Our comprehensive UK FCA Code of Conduct Compliance Training provides essential knowledge of the Senior Managers and Certification Regime (SMCR), conduct rules, and regulatory expectations that govern behavior across all levels of financial services organizations.

This specialized training addresses the regulatory framework introduced to enhance accountability, improve conduct, and rebuild trust in financial services. Participants learn to apply conduct rules in practice, understand fitness and propriety requirements, and implement governance structures that support regulatory compliance and positive customer outcomes.

Learning Outcomes

SMCR Framework Mastery

Understand Senior Manager Functions, Certification Functions, and the allocation of responsibilities under the Senior Managers and Certification Regime.

Conduct Rules Application

Apply individual and senior manager conduct rules in daily activities, decision-making, and customer interactions across different business contexts.

Fitness and Propriety Standards

Meet FCA expectations for competence, honesty, integrity, and financial soundness in certification and approval processes.

Individual Conduct Rules

Master the application of individual conduct rules including integrity, skill care and diligence, management oversight, and compliance with legal and regulatory requirements.

Senior Manager Responsibilities

Understand additional obligations for senior managers including taking reasonable steps to prevent regulatory breaches and management of business responsibilities.

Course Modules

Individual Conduct Rules

Master the application of individual conduct rules including integrity, skill care and diligence, management oversight, and compliance with legal and regulatory requirements.

Senior Manager Conduct Rules

Understand additional obligations for senior managers including taking reasonable steps to prevent regulatory breaches and management of business responsibilities.

Prescribed Responsibilities

Learn about the allocation and oversight of prescribed responsibilities including compliance oversight, finance, risk management, and conduct risk management.

Certification Requirements

Understand annual certification processes, competence assessments, and ongoing fitness and propriety evaluations for certification functions.

Regulatory References

Navigate regulatory reference requirements, disclosure obligations, and information sharing between firms when employees move roles.

Breach Reporting and Investigation

Implement systems for identifying, investigating, and reporting conduct rule breaches and disciplinary actions to the FCA.

Role-Based Best Practices for FCA Conduct Compliance

Senior Manager Responsibilities

  • Take reasonable steps to prevent regulatory breaches in areas of responsibility
  • Ensure adequate systems and controls are in place and operating effectively
  • Provide clear direction and oversight to teams and business areas
  • Demonstrate competence and act with integrity in all professional activities

Certification Function Holder Duties

  • Maintain competence and fitness and propriety standards for certification
  • Act with integrity and demonstrate appropriate skill, care, and diligence
  • Comply with regulatory requirements and firm policies in specialist areas
  • Participate in annual certification assessments and competence reviews

All Staff Conduct Obligations

  • Act with integrity in all business activities and customer interactions
  • Exercise appropriate skill, care, and diligence in professional duties
  • Be open and cooperative with regulators and comply with legal requirements
  • Treat customers and colleagues fairly and with appropriate consideration
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FCA Code of Conduct Training - FAQ

Frequently Asked Questions

What are the key differences between individual and senior manager conduct rules?
Individual conduct rules apply to all SMCR staff and cover integrity, skill care and diligence, being open and cooperative with regulators, and paying due regard to customer interests. Senior manager conduct rules include additional obligations such as taking reasonable steps to prevent breaches and properly managing business areas under their responsibility.
How often must certification function holders be certified?
Firms must assess and certify that certification function holders remain fit and proper at least annually. This includes evaluating competence, integrity, and any matters that might affect their fitness and propriety. The certification must be completed within 12 months of the previous certification or before the person performs the certified function.
What information must be included in regulatory references?
Regulatory references must include information about conduct rule breaches, disciplinary action, investigations, and any other matters relevant to fitness and propriety during the previous six years. References must be factual, fair, and complete, covering both substantiated and unsubstantiated allegations where relevant to regulatory assessment.
When must conduct rule breaches be reported to the FCA?
Firms must notify the FCA as soon as reasonably practicable of any conduct rule breach by a senior manager function holder, and annually for other SMCR staff breaches (unless the breach is particularly serious). The notification should include details of the breach, investigation findings, and any disciplinary action taken.
How should firms allocate prescribed responsibilities under SMCR?
Prescribed responsibilities must be allocated to specific senior manager function holders and clearly documented in their statements of responsibilities. The allocation should reflect the actual management structure and ensure comprehensive coverage without gaps or inappropriate overlaps. Regular reviews should ensure the allocation remains appropriate as the business evolves.
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Fast track FCA Code of Conduct compliance with bite‑sized training.

With 5Mins.ai, Code of Conduct Compliance Training rules become snack-sized videos employees watch.

  • Fully automated tracking eliminates manual follow-ups.
  • Live dashboards prove compliance in a single click.
  • Super-short 3–5-minute lessons keep learning efficient.

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