The UK FCA's Original 5 Conduct Questions

The UK FCA's Original 5 Conduct Questions

Regulators are serious about checking on how you behave at work. As a result, they will likely come and meet you, at your workplace, to ask a set of conduct questions to assess how you behave towards your colleagues and customers. Roger lists the five basic conduct questions that the British regulator uses, and unpackages the technical jargon, to prepare you for your next conduct inspector visit.
Overview

In the UK, behavioural regulation is led by the Financial Conduct Authority with its SMCR programme. Conduct Regulators aim is to measure how CEOs, managers and other employees interact with each other and how they treat their clients or customers. This is achieved through 5 key questions.

Key learning objectives:

  • Define biases and explain when they occur

  • Describe the Proxy-behaviour measures

  • Outline the 5 main Conduct Questions, and understand their simplified versions

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