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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