Conduct & Ethics

This awareness-level course explains the main approaches to business ethics and provides a framework for making sound ethical decisions in the workplace.

The course follows the framework of a typical corporate code of conduct and covers content on values, decision-making, and ethical leadership.

This awareness-level course explains the importance of identifying potential conflicts and managing and mitigating them effectively and fairly. The key messages are reinforced through real-life examples and practical scenarios.

The course provides a practical guide to the FCA Conduct Rules. It covers a brief overview of the Senior Managers and Certification Regime (SMCR), the scope and content of the Conduct Rules, and both role-specific and industry-specific examples. The course has been updated to include details of the new Consumer Duty.

This awareness-level course covers the ethical, regulatory and legal responsibilities of firms and their employees in relation to market conduct.

This awareness-level course takes the learner through a multi-part scenario and explains why raising concerns is important, the options open to an employee when raising a concern, what happens after a concern has been raised and how employees are protected from retaliation.

The European Council adopted the EU Whistleblower Protection Directive in October 2020. It requires all organizations operating in the EU to:

• Implement internal reporting channels for whistleblowers
• Protect whistleblowers from detriment
• Promote speaking up and whistleblowing

This course provides organizations with an off-the-shelf learning solution that meets the communication and training needs of the EU Whistleblowing Directive.

This awareness-level course takes a practical look at the client asset rules of the Financial Conduct Authority (FCA). It explains the key definitions, the importance of protecting client assets rules and the legal and regulatory landscape.

This awareness-level course covers the ethical, regulatory and legal responsibilities of firms and their employees in relation to market conduct with a particular focus on the commodity markets.

This awareness-level course explains how to recognize and handle, record and respond to complaints effectively.

This bite-size module has been developed for all financial services firms covered by the Financial Conduct Authority’s (FCA) Senior Managers and Certification Regime. It reminds employees of their responsibilities under the FCA’s Individual Conduct Rules and explores how they apply in practice. The course has been updated to include details of the new Consumer Duty.

This bite-size module has been developed specifically for financial services organizations. It focuses on the challenges to the fair and orderly operation of financial and other markets that arise from current market instability and the unprecedented changes to the working environment.

This bite-size module has been developed for all financial services firms covered by the Financial Conduct Authority’s (FCA) Consumer Duty.