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Who do fca conduct rules apply to


The Conduct Rules apply to all firms, and to all staff within a firm, with the exception of ancillary staff (e.g. Receptionists, Reprographics staff, Security Guards). Importantly, they apply to both regulated and unregulated financial services activities.

Which individuals are bound by the conduct rules under the regime?

(1) COCON applies to the conduct of conduct rules staff set out in (2) wherever it is performed. (b) a certification employee performing FCA certification function (6) (material risk takers) in the table in ■ SYSC 27.7. 3R for a UK SMCR firm.

Who do the FCA's Code of Conduct cocon rules apply to?

Rule 1: You must act with integrity. Rule 2: You must act with due skill, care and diligence. Rule 3: You must be open and cooperative with the FCA, the PRA and other regulators. Rule 4: You must pay due regard to the interests of customers and treat them fairly.

What are the FCA individual conduct rules?

3.13 The authorisation of a firm applies to the entire firm including its overseas offices. This means for an international firm, the authorisation will apply to the legal entity incorporated outside the UK, including its UK branch and its overseas head office.