Introduction to COCON the Code of Conduct

The FCA’s Code of Conduct Sourcebook sets out standards of conduct and apply to nearly all firms in the financial services industry. A much larger proportion of employees are subject to direct conduct regulation than ever before.

For firms subject to the Senior Managers and Certification Regime, there is an obligation to train staff who are subject to the Individual Conduct Rules, and, for those who are performing Senior Management Functions, Senior Manager Conduct Rules.

It is expected that this training covers the provisions of the Conduct Rules, and how they impact individuals.

This introductory course could be a first step towards achieving this or a valuable refresher for those who have already taken such training.