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The FCA Code of Conduct Rules: Understanding and Complying with COCON

14 Jun 2017 14:00 - 16:00
Cordium UK offices
Norfolk House, 31 St James’s Square, London, SW1Y 4JJ
Training & Workshops, Compliance, Risk, Regulation
Audit, Tax & Accountancy, Banking, Clearing Houses, Outsourcing, Consumer Credit, Energy Market Participants, Gaming, General Insurance, Investor Relations, Legal, Life Assurance, Mortgage & Home Finance, Pensions, Securities & Investment, Wealth Management

If you would like to discuss your training requirements in more detail please contact Graham Dix on 020 7484 3987 or your usual Cordium consultant.

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Course Background:  From 7th March 2017, the obligation to comply with the Code of Conduct rules will be expanded to include almost all staff involved in any form of regulated activity in organisations within the scope of the Senior Managers and Certification Regime (“SMCR”).  

Course Overview:

This course is aimed at explaining the COCON rules in practical terms and clarifying what is expected of organisations and individuals.

To provide delegates with:

  • The ability to explain the COCON rules: how they impact the firm and individuals;
  • An enhanced understanding of the application and scope of the COCON rules;
  • Clarity on the application of the individual conduct rules to a variety of specific job roles;
  • Guidance on practical ways to comply with the rules; and
  • The potential impact for non-compliance

Key topics:

  • Why COCON? – the increasing focus on individual accountability and senior managers
  • The scope and application of COCON;
  • The conduct rules which apply to all staff:
  • The link to the SMCR – Conduct rules relating to Senior Managers and Non-Executive Directors: Skill, care and diligence – conduct rules for managers and team leaders,;
  • Factors for assessing understanding and compliance; and
  • How to ensure compliance.

Course aimed at: Senior Management, Certified and non-certified individuals, Risk, Compliance and Internal Audit specialists, Human Resources and Learning and Development specialists.

This course can be delivered onsite or as an instructor lead course at a firm’s office.

 

£299.00
3 Hours
Cordium - Education and Training
Norfolk House, 31 St James’s Square, London SW1Y 4JJ.

Email: Graham.Dix@Cordium.com
Tel: +44 (0) 20 7691 9722
Contact: Graham Dix. Manager Training Solutions