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
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ENTRIMA has trained numerous professionals and certified thousands of learners, and counting

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Nataly Trofimova
Head of Internal Audit at D.Trading

ENTRIMA’s courses are very suitable for our employees; good quality content is what we look for.

Rob Veersma
Advisor | Global Energy Community

Nice and user friendly learning platform. Even complicated topics become fun to learn.

Olga Yurkiv
Finance consultant at Dyco Trade