Conduct Rules
The individual Conduct Rules, or Common Rules, written for the staff who sit outside the certification regime. Three sections, each closing with a short randomised quiz, then a randomised course test drawn from the objectives of all three.
- Format
- Web-based (SCORM)
- Duration
- About 30 minutes, pause anytime
- Assessment
- Randomised question bank
- Certificate
- Timestamped, CPD accredited
- Audience
- Non-certification staff
- Refresh
- Annual re-enrolment, automatic
What the course covers
5 focused sections, each built on the Irish legal position rather than generic principles, then a randomised exam and your certificate.
Legal basis: FCA Code of Conduct (COCON); Senior Managers & Certification Regime
Conduct Rules Reach Every Employee
Breaches Are Reportable
Firms must notify the regulator of Conduct Rule breaches, including any disciplinary action taken. What happens internally does not stay internal.
Your Record Follows You
A breach can affect references, regulatory approval and future roles across financial services.
The Rules Bind You Personally
The Common Conduct Rules apply to individuals directly. Compliance is not something the firm can do on your behalf.
Training Is a Requirement
Firms must ensure staff understand how the rules apply to their own role. Generic awareness does not meet the standard.
How it is assessed
Every learner sits a randomised exam drawn from a larger question bank, so no two people see the same paper and sharing answers gets nobody anywhere.
- Questions rotate per learner from the bank
- Pass mark set for genuine competence
- Learners can pause and resume at any point
- Retakes available without starting the course again
What you can evidence
The certificate is the point. It is issued automatically on a pass and lands straight in your audit trail.
- Learner name, completion date and exam score
- Course outline and the exact version taken
- CPD hours, ready for a professional CPD log
- One-click audit export across your whole team
More in Conduct & Accountability
Courses firms usually pair with this one, each about 30 minutes with its own CPD certificate.
Fitness & Probity
Controlled Functions, the F&P standards and the annual certification cycle the compliance officer usually ends up running single-handed..
View courseConduct Standards (SEAR)
The IAF Common and Additional Conduct Standards under SEAR, and more importantly the reasonable steps that evidence them when someone asks..
View courseConduct Risk
How ordinary products, incentives and culture end up harming customers, and how the Central Bank assesses whether your firm noticed..
View courseCorporate Governance
Boards, committees, risk appetite and the three lines of defence, with a clear answer to where compliance reporting is supposed to land..
View coursePut Conduct Rules on your audit trail.
Book a demo and we will show the course, the randomised exam and the certificate, with your team's names on the dashboard.