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Learning Platform - "Trade Compliance & Surveillance"

Course: Conduct Rules

About the online training programme

This training covers the fundamentals of the Conduct Rules, which are part of the Senior Managers and Certification Regime (SM&CR). During the course it is explained what types of Conduct Rules there are and to which professionals these apply.

Course content

This training includes the following topics:

  • Who?
    • Senior Managers
    • Certified Person
    • All non-ancillary staff
  • Code of conduct
    • Cocon
  • Reporting of breaches
    • FCA
    • PRA
  • Conduct rules
    • Tier 1 rules
    • Tier 2 rules
  • Taking responsibility
    • Risk culture
    • Risk governance
Back to Course Package
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ENTRIMA has trained numerous professionals and certified thousands of learners, and counting

The in-company training services were very satisfying, amongst others, as they served the purpose of learning by debate and through exchange of thoughts.

Pieter Schuurs
Intercontinental Exchange | ICE Endex

The most positive element of ENTRIMA’s online learning services concerns the progressive (step-by-step) approach from simple to more complex concepts.

Ronan Haas
Eurelectric

The online learning services are based on a comprehensive curriculum with a wide variety of theoretical basics combined with a profound business knowledge. The courses provide an in-depth understanding of business relevant processes.

Mario Claeys
CMEXS + Supervisory Board at European Commodity Clearing