Vulnerable Customers: A Short Overview (Finance)
10 Minutes
FCA Code of Conduct (COCON): Upholding the FCA's Standards
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Topic
Duration
Industry
Jurisdiction
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Description
This course explores the FCA's Code of Conduct (COCON) and the standards of behaviour expected from employees working in regulated firms. Through realistic workplace scenarios, learners examine the Individual Conduct Rules, customer outcomes, market conduct, speaking up, and non-financial misconduct. The course also explores the FCA's increasing focus on culture, accountability and fitness and propriety, helping learners understand how conduct risks emerge and how to respond appropriately. Additional pathways provide tailored content for managers and Senior Manager Function holders, with a focus on oversight, governance and leadership responsibilities.
Course Objectives
- Identify the purpose and requirements of the FCA Individual Conduct Rules in practice
- Recognise how culture and behaviour influence regulatory outcomes
- Evaluate conduct risks and potential breaches in realistic workplace situations
- Apply appropriate escalation and speak-up practices when concerns arise
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This is a trial version of the course FCA Code of Conduct (COCON): Upholding the FCA's Standards Please note, we do not offer certificates for trial course completions.
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