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
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