A 45-minute, CPD-assessed course on the FCA's Conduct Rules for everyone at the firm: all six individual rules, the four senior manager rules, the Consumer Duty and the non-financial misconduct rule in force since 01-Sept-26. Built on filmed workplace scenarios, and scheduled, chased and certified for you.
Written for every role in the firm, and built around the moments where a person actually has to decide something, not around rule numbers.
All six individual conduct rules, by what each asks of you. Who is covered (nearly everyone, contractors and secondees included) and the short list of ancillary roles that are not. When the rules start applying to you, and why the firm's duty to train you is not your defence. The four senior manager conduct rules, SC1 to SC4.
Rules 1 and 2 in practice: why a mistake is not a breach but hiding it usually is, owning an error early and in writing, and why pressure is not a defence but is worth raising.
Where conflicts turn up in ordinary work, and what to actually do: declare it before the decision is taken, then step out of the decision. Includes a filmed scenario.
What rule 3 actually requires of somebody who is not the compliance officer, and why promptness is part of it.
Rule 4, the long-standing fair treatment duty, and rule 6, acting to deliver good outcomes for retail customers under the Consumer Duty: what the difference is, what it looks like on a normal Tuesday, and what applies if your firm has no retail customers.
Rule 5: inside information, manipulating the market, and what it means for somebody who does not trade. Includes a filmed scenario.
What you do when something goes wrong, what happens after you report (including when the FCA is told and how it follows you into a regulatory reference), and speaking up when the normal route is the problem.
The non-financial misconduct rule in force since 01-Sept-26: what it covers, the two limits that matter (it has to be serious, and connected to work), which conduct rule it breaches, what to do if it happens to you or near you, and what culture is actually made of.
What to take away, followed by the test and the certificate.
Most of the Conduct Rules surprise nobody. The course exists so the firm can show it told people, and so they can recognise the moment a rule is in play. By the end, a learner can:
Two short films, shot for Fundsure with the same cast across the catalogue. In one, a client offers a gift while a decision about them is still pending. In the other, a colleague notices a pattern in a client’s trading that does not look right. After each, the learner chooses what the person should do, and is told why the tempting answers are wrong: declining the gift quietly and telling nobody, or asking the client to explain the trades before raising it.
The test at the end draws 10 questions from a bank of 30, with a pass mark of 80%, and a pass issues a named, CPD-marked certificate that anyone can check online.
Checked against the FCA Handbook and the policy statements behind it. Last checked Sept 2026.
Since 01-Sept-26 serious bullying, harassment and violence towards colleagues is within the conduct rules for firms outside banking, where it is connected to work (PS25/23). The course explains the seriousness test, where work ends and private life begins, and which rule it breaches.
Including rule 6, acting to deliver good outcomes for retail customers, which came in with the Consumer Duty in 2023 and is easy to miss in older material. A course that teaches five rules is teaching a rulebook that no longer exists.
SC1 to SC4 are taught too. Most learners are not senior managers, but everyone works for one, and the four rules explain most of what a senior manager asks for.
PS26/6, published 22-Apr-26, streamlined certification. Nothing in it changes what an individual does day to day, so it appears where it bears on breach reporting.
From the day you take the role, not the day you are told about them, and to contractors and secondees doing an employee's job.
The FCA is consulting on the Duty's scope (CP26/23, June 2026). Nothing is settled, so the course teaches the Duty as it applies today.
Under section 64B of the Financial Services and Markets Act 2000, an SM&CR firm must tell each person which conduct rules apply to them and take reasonable steps to make sure they understand how the rules apply in their role. If it never happens, that is a gap in the firm’s compliance, and it is not a defence for the individual.
In the Fundsure Portal the course is scheduled for everyone each year, chased before the deadline, and every sitting, score and certificate is kept and carried into the compliance officer’s report to the board.
How the portal runs trainingConduct Rules plus AML and CTF, SMCR, non-financial misconduct, sanctions and the rest of the catalogue of 20, with no per-course fees.
Bullying, harassment and violence under the Conduct Rules, in depth.
See the courseWho is answerable for what, certification, and fitness and propriety.
See the courseInsider dealing, unlawful disclosure and market manipulation, for everyone.
See the courseThe annual anti-money laundering course most firms give everyone alongside this one.
See the courseWe will send you a link to take the whole course, filmed scenarios and test included, or walk you through the portal with a demonstration firm.
