Getting to Grips with Certification Regime – Code of Conduct


Objectives To walk through the Code of Conduct regulations in order to understand the FCA’s requirements. Some test questions are set out towards the end of this post. Outcomes To understand who falls in the scope of the regulations To know what the FCA’s expectations are in respect of embedding the Code of Conduct To be able to readily recall the component parts of the Code of Conduct To be aware of what constitutes a breach and the actions that must be taken COPY OF SLIDES – DOWNLOAD HERE Video Transcript Hi, my name’s Jeff Abbott. I’m Regulatory Services Director…

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I provide consultancy and support to UK based financial services companies helping them to design and implement practices that develop their people, achieve their business goals and comply with the needs of the regulators. I specialise in T&C, competence assessment and conduct which may be of particular interest to companies as they address the requirements of the Certification Regime and Code of Conduct requirements. My specialities include: Knowing you have a business to run Valuing your people as your greatest asset Keeping things simple, practical and relevant Engaging the business to promote ownership Ensuring Compliance is a natural by product of doing things well

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