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Dealing and Managing

This Dealing and Managing training course provides an overview of the Financial Conduct Authority (FCA) rules aimed at providing appropriate protection for customers, including the best execution, customer order handling, and allocation and aggregation rules, as well as summarizing the rules against insider trading and personal account dealing. 

Geography Covered: UK | Duration: 30 minutes

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Summary

The Financial Conduct Authority (FCA) has set forth rules to support the objective of securing the appropriate amount of protection for consumers. At the heart of this legislation, known as the dealing and managing rules, is the requirement for firms to act honestly, fairly, and professionally in accordance with the best interests of its clients.

The FCA recognized that not all clients, services, and products are the same, and thus it designed the rules to require firms to take the clients’ level of understanding into consideration. The dealing and managing rules require investment firms to take all sufficient steps to get the best possible result for their clients, taking into account a range of factors, known as the "execution factors." Additionally, the rules provide guidelines on certain practices such as aggregation and allocation, front running, and personal account dealing.

The topics covered in the course include:

  • Background on the FCA’s dealing and managing rules
  • Best execution
  • Order execution
  • Aggregation and allocation
  • Prohibited practices

  • Like with all our courses, the Dealing and Managing training course was written by experts and powered by world-leading regulatory intelligence, which tracks more than 900 regulators and exchanges globally to ensure the course content is always up to date.

    All our training courses are driven by practical examples and interactive scenarios to ensure users truly understand and recognize the issues of most importance to your business and learn to instinctively act to support them.

    We employ instructional design techniques optimized for risk and compliance training, enabling your business to educate in a way that reduces risk and helps you build a culture of integrity and compliance.

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