Dealing and managing rules as set out by the Financial Conduct Authority (FCA) exist for the protection of consumers and is the requirement for firms to act honestly, fairly, and professionally in accordance with the best interests of their clients.
This Dealing and Managing compliance training course provides an overview of the Financial Conduct Authority (FCA) rules aimed at providing appropriate protection for customers, including rules around execution, order handling and allocation and aggregation.
Key Learning Points
This course will help you to:
- Define the terms dealing and managing, and identify when you need to be aware of related rules
- Explain the situations relating to dealing and managing
- Understand prohibited practices
- Apply the rules of dealing and managing to your own job role
This course is suitable for all employees in a corporate or organisational setting.
Compliance eLearning that helps you...
Increase engagement with beautiful, dynamic courses
Improve communication between leadership and staff
Equip employees to do their jobs well & reach their goals
Detect & prevent violations of the law
Protect your company and its assets from illegal activity
Avoid scenarios such as loss of authorisation and penalties