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Conduct Rules
The Conduct Rules apply to all firms, including branches. These Conduct Rules to all employees within a firm – not just approved individuals. These set of enforceable rules set basic standards of good personal conduct, against which the Financial Conduct Authority (FCA) can hold people to account. They can be found in the COCON chapter of their Handbook.
This document has been updated to incorporate Consumer Duty regulatory guidelines. 09/23
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