UK Banking Conduct Compliance Training

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Course Summary

UK banking conduct rests on the FCA Handbook, the FCA Conduct Rules, and BCOBS. This Ethena course shows staff what the FCA expects of them, how BCOBS shapes day-to-day obligations, and how the DISP rules govern complaint handling.

How the FCA Handbook is structured
What the FCA Conduct Rules require
When and how BCOBS applies
Handling complaints under the DISP rules

Included Modules:

Setting the Scene: UK Banking Conduct

Introduces UK banking conduct regulation and how the Financial Conduct Authority sets the standards firms and individuals must meet when serving customers.

Understanding the FCA Handbook

Explains the structure of the FCA Handbook, the rulebook setting out the principles, sourcebooks, and detailed requirements that govern regulated firms.

What the FCA Requires of You

Outlines the core standards the Financial Conduct Authority expects from individuals, including acting with integrity, due care, and treating customers fairly.

How the FCA Code of Conduct Applies to You

Shows how the FCA Conduct Rules, the Conduct Rules in COCON under the SM&CR, apply to your role and shape your day-to-day behaviour at work.

What Is BCOBS?

Explains the FCA’s Banking: Conduct of Business Sourcebook (BCOBS), which sets the conduct standards firms must follow when providing retail banking services.

When and How BCOBS Applies

Explains which firms, products, and customers BCOBS covers, and when its conduct rules apply across the customer relationship from start to finish.

What BCOBS Requires of You

Sets out the practical BCOBS requirements for staff, including fair communications, clear information, and appropriate post-sale service for banking customers.

How BCOBS Shapes Your Obligations

Shows how BCOBS translates into your everyday duties, guiding how you communicate, advise, and support customers throughout their banking relationship.

What BCOBS Requires for Complaint Handling

Explains the complaint-handling standards in the FCA’s DISP rules, including fair treatment, timely responses, and proper record keeping by firms.

From Complaint to Resolution

Walks through the complaint process from first contact to final resolution, including escalation, redress, and the right to the Financial Ombudsman Service.

Why is this training important for workplaces?

Conduct rules sit at the heart of how UK banks earn and keep trust, and when staff cut corners on things like treating customers fairly, handling conflicts of interest, or escalating concerns, the fallout shows up as regulatory penalties, customer harm, and lasting reputational damage. Getting it right means employees know what’s expected of them day to day, can spot when something’s off, and act before a small lapse turns into a serious breach. This training gives your people the practical understanding they need to make sound decisions, stay on the right side of their obligations, and protect both customers and the firm.

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Jacob Leon Beier Chief Compliance Officer & Counsel, TriMark USA

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Darryl Cyphers, Jr. Senior Director of Legal Compliance, Klaviyo

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Giovanna Travieso Lead-People Experiences & Growth, Magic Leap