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 UK 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
About 30 minutes, including the randomised exam. It runs in any browser with nothing to install, learners can pause and resume, and the certificate is issued the moment they pass.
Yes. The course carries CPD accreditation codes issued by the LIA and the IOB, and every certificate states the course outline, completion date, exam score and CPD hours, ready for a professional CPD log or the firm’s training file.
Non-certification staff. It is written for firms with a UK arm, to the UK legal position.
FCA Code of Conduct (COCON); Senior Managers & Certification Regime. The content is written to that legal position rather than to a generic international syllabus, and the certificate records the version taken.
Yes. Upload a list or share an invite link, track completions on the Harrington Hub dashboard, let automatic reminders chase the stragglers, and export every certificate and score in one click when an auditor or the regulator asks.
Put 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.