How to implement the FCA Code of Conduct in your firm

booster

22nd October 2020  10-11.00am

Your opportunity to be updated, refresh and stock-take where your firms COCON implementation arrangements stand against FCA expectations.

A must for Senior Managers, Executive Board Directors, Non-Executive Directors, Risk/Compliance staff, HR staff, staff with prescribed responsibilities and/or those who have responsibility for the delivery and application of COCON and the Conduct Rules within the firm.

With the roll-out of the Senior Managers and Certification Regime fast approaching, all affected firms should be on their way to successfully implementing the FCA’s COCON in their firms. Within COCON is a new set of Conduct Rules that applies to all employees within firms – not just approved individuals, and the Rules set basic standards of good personal conduct against which people can be held to account.

It is essential that Senior Managers understand their obligations under COCON and the concepts behind COCON and the new Conduct Rules.

Some time has now passed since the FCA alerted firms to the introduction of COCON, and it is now time to act in order to ensure compliance with regulatory expectations.

This Booster session is aimed at bringing COCON and the Conduct Rules to life and will give you a practical overview of what you need to know and do to meet FCA expectations, examples of how COCON and the Conduct Rules apply to roles within your firmand the consequences of not taking these matters seriously.

The content will cover:

  • What is COCON and how the Conduct Rules apply to a firm
  • Why COCON and the Conduct Rules are being introduced
  • How the way staff behave and conduct themselves can drive a firms culture
  • Understanding how COCON and the Conduct Rules practically apply to firms
  • The consequences of not taking COCON and the Conduct Rules seriously

Date: 22nd October 2020

Time: 10-11.00am

Cost: Just £69 plus vat per person

Delivery: Via Zoom

Delegates will receive a certificate of attendance.

 

To book contact: email Deborah@createsolutions.co.uk or phone 0161 870 6637

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