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Conduct Risk Awareness
Understand conduct risk in financial services: how individual behaviour can cause customer harm, market abuse, or regulatory failure, and your role in maintaining high standards.
1 modules, 1 lessons~7 minutes80% pass mark4 flipcards, 1 scenario
CPD Aligned
This course provides general guidance on conduct risk. Firms should implement conduct risk frameworks tailored to their specific business activities and regulatory requirements.
What you will learn
- Define conduct risk and explain why the FCA prioritises it
- Identify common sources of conduct risk in your organisation
- Describe the FCA Individual Conduct Rules that apply to all regulated staff
- Explain how to identify and escalate conduct concerns
Who is this for?
All staff at FCA-regulated firms, particularly those in customer-facing, trading, or advisory roles
Course details
Duration~7 min
Modules1
Lessons1
Pass mark80%
CertificateYes
CPD Hours0.1
Jurisdiction
United Kingdom - FCA conduct expectations and Individual Conduct Rules
Course Modules
1
Understanding Conduct Risk
~7 minWhat conduct risk means and how to manage it
What Is Conduct Risk?
AudioVisualFlipcardsScenario
Assessment - 5 questions
Total Questions
5
Pass Mark
80%
Audio
1/1
Certificate
Yes
v1.0.0 | Updated 2026-07-01 | Sources verified 2026-07-01
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