UK Dealing and Managing Obligations Compliance Training

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Course Summary

The FCA’s Conduct of Business Sourcebook sets out how firms must deal and manage trades in their clients’ best interests. This Ethena course covers best execution, client order handling, fair aggregation and allocation, and the practices you must never use.

Why the dealing and managing rules matter
Meeting your best execution duty
Handling client orders promptly and fairly
Practices like front-running you must avoid

Included Modules:

Why Dealing and Managing Rules Matter

Introduces the FCA Conduct of Business Sourcebook dealing and managing rules and why firms must put clients’ interests first when trading.

How to Meet Your Best Execution Obligations

Explains the FCA best execution duty under COBS 11.2A, requiring firms to take all sufficient steps to get clients the best possible result.

Your Obligations Around Client Order Handling

Covers the FCA client order handling rules, which require firms to execute comparable orders promptly, fairly, and in proper sequence.

Rules Around Aggregation, Allocation, and Records

Outlines the FCA rules on aggregating and allocating client orders fairly and keeping the records that evidence how trades were handled.

Recognising Practices You Must Avoid

Highlights prohibited conduct like front-running and market abuse under the UK Market Abuse Regulation that the dealing rules exist to prevent.

Why is this training important for workplaces?

Anti-money laundering (AML) is crucial for maintaining the integrity of financial systems and preventing illegal activities. Implementing strong AML measures protects businesses from reputational damage, legal consequences, and financial losses. It ensures compliance with regulatory requirements and enhances trust among clients, investors, and stakeholders. By understanding and actively addressing money laundering risks, organizations can foster a safe and secure environment, safeguard their assets, and contribute to the overall stability of the financial ecosystem.

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