FCA Compliance Training

Our FCA compliance training is designed to raise standards and levels of conduct throughout your organisation, giving you both peace of mind and the competitive edge when it comes to earning consumers’ trust.

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The Collection

Collections are unique solutions designed to bring together the convenience and cost effectiveness of off-the-shelf eLearning with all the benefits of an engaging, bespoke training curriculum.

Our new Collections feature a variety of learning styles and fresh content to improve engagement and provide a long term solution to your training needs.

Using Collections, your organisation can enjoy the best of both worlds, giving you ready-made, holistic training programmes designed to deliver a multi-year training strategy with fresh content year-on-year.

Adaptive Courses

  • An innovative new approach to promote knowledge retention and learner engagement

  • Pre-assessment identifies areas of strengths and weaknesses

  • Course is automatically tailored to cover gaps in learners’ knowledge

  • Significantly reduces unnecessary training time

Our Adaptive Courses

Immersive Courses

  • Scenario-based courses

  • Place the learner at the centre of the experience

  • Test their ability to make the right decisions.

  • Highly interactive; designed to improve learner engagement.

Our Immersive Courses

Customer Complaints Handling

This immersive eLearning course explores how firms can respond to customer complaints effectively and in line with the guidelines set by the Financial Conduct Authority (FCA).

This course will enable learners to differentiate between a regulated and unregulated complaint. The course also explores how to handle, investigate and respond to customer complaints, the preventative actions that can be taken, and the role of the Financial Ombudsman Service in resolving disputed complaints.

Financial Sanctions (FCA)

This immersive eLearning course on financial sanctions explores how firms can ensure that they are complying with the financial sanctions regime and the role of the Financial Conduct Authority (FCA) in ensuring that firms have adequate systems and controls to meet their financial sanctions obligations.

The course also explores the types of financial sanctions that could be imposed on individuals or companies, the role of the Office of Financial Sanctions Implementation (OFSI) and designated persons, and the consequences of breaches of financial sanctions.

Introduction to FCA Regulation

This online training course on the Financial Conduct Authority (FCA) explores how the FCA regulates conduct, the principles it sets for business, and the standards and processes laid-out in the FCA handbook.

Senior Managers and Certification Regime

With the Senior Managers and Certification regime (SM&CR), the Financial Conduct Authority (FCA) is aiming to promote a proactive culture of responsibility and to improve conduct in financial markets.

This immersive eLearning course is ideal for all employees of regulated organisations and will help them understand the conduct rules under each regime and how they apply to various individuals within the firms.

This course guides the learners through the requirements of the SM&CR conduct rules and invites them to apply a range of key questions to their own role and the firm, to help ensure that they and their firm remain compliant.

Treating Customers Fairly

All organisations in the financial sector need to put the fair treatment of customers at the heart of their business model.

Our Treating Customers Fairly eLearning course covers the FCA Principles for Businesses, the meaning of fairness and how to monitor performance to ensure continued fairness. It includes realistic scenarios to illustrate the principles in action.

Vulnerable Persons

This online training course on Vulnerable Persons is set in an immersive format and looks at how firms can ensure that they are treating customers fairly by enabling customer services staff to confidently identify and support vulnerable customers.

This course will explore how employees can help safeguard vulnerable people, using some key communication techniques to develop your confidence in supporting vulnerable customers, while also meeting legal obligations.

Microlearning Courses

  • Short 5-10 minute learning vignettes

  • Focussed on key topics

  • Improve knowledge retention with bite size learning

  • Can be rolled out in response to emerging training needs.

Our Microlearning Courses

Detailed Study Courses

  • Utilises what we would call a ‘traditional’ eLearning approach, meaning that learners are presented with the information then tested at the end

  • Information is presented in an interactive, engaging way

  • Longer, detailed courses

Our Detailed Study Courses

Client Money and Assets

This online training course on Client Money and Assets explores how the rules affect employees, the principles it sets for organisations and their clients, and the standards and processes laid out in the Clients Assets Sourcebook (CASS).

The course is designed to enables learners to understand the regulation around the FCA’s Client Assets rules and the key requirements for organisations to arrange for adequate protection of clients’ assets when it is responsible for them.

Conflicts of Interest (FCA)

This online training course on conflicts of interest highlights the FCA regulation around conflicts of interest and the impact on individuals and firms.

Employees are expected to act fairly and place the interests of their organisation ahead of personal interests in any business transaction.

A conflict of interest occurs where an employee in an official capacity, acts to gain a personal advantage for them or an individual known to them, such as family or a friend.

Market Abuse Regulation

The Market Abuse Regulation (MAR) is aimed at prohibiting insider dealing and unlawful disclosure of inside information, and market manipulation. Train your employees to protect them and your organisation from costly mistakes which could result in fines or even imprisonment. This eLearning course on MAR is set in an immersive format enabling learners to explore real-life case studies and evaluate the conduct presented to reduce the risks of breaching FCA regulations.

Communications Resources

To positively reinforce the learning messages in our courses we also provide you with a suite of communications resources, including:
  • Engaging resources to print out and display in the workplace

  • Share digitally via intranet, newsletter or display screen.

  • Promote a culture of compliance

  • Reinforce key behaviours

Our Communications Resources

Toolbox Talks

  • Resources based on corresponding courses

  • Designed to facilitate a blended learning experience for small groups.

  • Includes downloadable facilitation notes

  • Use as part of face-to-face training.

Our Toolbox Talks Courses

Phishing Simulator

To positively reinforce the learning messages in our courses we also provide you with a suite of communications resources, including:
  • Send simulated phishing emails to your employees

  • Track and report on who opens them

  • Our AI driven platform will assess their learning needs

  • Auto enrol employees on our Phishing and Information Security courses to make your business more secure
Our FCA Compliance Training Courses

Client Money and Assets

This online training course on Client Money and Assets explores how the rules affect employees, the principles it sets for organisations and their clients, and the standards and processes laid out in the Clients Assets Sourcebook (CASS).

The course is designed to enables learners to understand the regulation around the FCA’s Client Assets rules and the key requirements for organisations to arrange for adequate protection of clients’ assets when it is responsible for them.

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Detailed Study Courses

Conflicts of Interest (FCA)

This online training course on conflicts of interest highlights the FCA regulation around conflicts of interest and the impact on individuals and firms.

Employees are expected to act fairly and place the interests of their organisation ahead of personal interests in any business transaction.

A conflict of interest occurs where an employee in an official capacity, acts to gain a personal advantage for them or an individual known to them, such as family or a friend.

icon
Detailed Study Courses

Customer Complaints Handling

This immersive eLearning course explores how firms can respond to customer complaints effectively and in line with the guidelines set by the Financial Conduct Authority (FCA).

This course will enable learners to differentiate between a regulated and unregulated complaint. The course also explores how to handle, investigate and respond to customer complaints, the preventative actions that can be taken, and the role of the Financial Ombudsman Service in resolving disputed complaints.

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Immersive Courses

Financial Sanctions (FCA)

This immersive eLearning course on financial sanctions explores how firms can ensure that they are complying with the financial sanctions regime and the role of the Financial Conduct Authority (FCA) in ensuring that firms have adequate systems and controls to meet their financial sanctions obligations.

The course also explores the types of financial sanctions that could be imposed on individuals or companies, the role of the Office of Financial Sanctions Implementation (OFSI) and designated persons, and the consequences of breaches of financial sanctions.

icon
Immersive Courses

Introduction to FCA Regulation

This online training course on the Financial Conduct Authority (FCA) explores how the FCA regulates conduct, the principles it sets for business, and the standards and processes laid-out in the FCA handbook.

icon
Immersive Courses

Market Abuse Regulation

The Market Abuse Regulation (MAR) is aimed at prohibiting insider dealing and unlawful disclosure of inside information, and market manipulation. Train your employees to protect them and your organisation from costly mistakes which could result in fines or even imprisonment. This eLearning course on MAR is set in an immersive format enabling learners to explore real-life case studies and evaluate the conduct presented to reduce the risks of breaching FCA regulations.

icon
Detailed Study Courses

Senior Managers and Certification Regime

With the Senior Managers and Certification regime (SM&CR), the Financial Conduct Authority (FCA) is aiming to promote a proactive culture of responsibility and to improve conduct in financial markets.

This immersive eLearning course is ideal for all employees of regulated organisations and will help them understand the conduct rules under each regime and how they apply to various individuals within the firms.

This course guides the learners through the requirements of the SM&CR conduct rules and invites them to apply a range of key questions to their own role and the firm, to help ensure that they and their firm remain compliant.

icon
Immersive Courses

Treating Customers Fairly

All organisations in the financial sector need to put the fair treatment of customers at the heart of their business model.

Our Treating Customers Fairly eLearning course covers the FCA Principles for Businesses, the meaning of fairness and how to monitor performance to ensure continued fairness. It includes realistic scenarios to illustrate the principles in action.

icon
Immersive Courses

Vulnerable Persons

This online training course on Vulnerable Persons is set in an immersive format and looks at how firms can ensure that they are treating customers fairly by enabling customer services staff to confidently identify and support vulnerable customers.

This course will explore how employees can help safeguard vulnerable people, using some key communication techniques to develop your confidence in supporting vulnerable customers, while also meeting legal obligations.

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Immersive Courses

Our Collections help you to:

A Flexible Solution

  • Collections are designed to offer a highly flexible, easily scalable and agile alternative to traditional off the shelf training.

  • Our collections offer a variety of different learning interventions and styles, providing each organisation the flexibility to create a training plan that meets their unique requirements.

A Scalable Solution

  • Collections are easily scalable too; whether you need to provide in-depth training, refresher training or a comprehensive schedule of short training activities, each collection provide enough options to roll out a unique training programme year after year.

An Agile Solution

  • As they are off the shelf, our collections are ready when you are and can be deployed quickly and easily in direct response to the changing level of risk being faced by your organisation.

  • Each collection is updated with new courses as we develop them, so your training programme can be fresh each year and your training is always up to date, relevant and effective.

All Topics

The Financial Conduct Authority (FCA) is a financial regulatory body. Its function is to oversee and regulate the financial services industry to ensure they conduct themselves with fairness and integrity. The FCA is an independent body, although it operates collaboratively with other institutions such as The Bank of England.

In order to be approved for membership to the FCA, firms must meet its strict requirements, including abiding by FCA rules, complying with the FCA code of practice, and must have implemented proper reporting processes.

Our introductory course on FCA Regulation explores the principles of the FCA and best practices to observe to meet FCA standards. Organisations interested in this course may also like to explore our range of courses focusing on key FCA regulations including Finacial Sanctions (FCA), Conflicts of Interest (FCA)Vulnerable PersonsCustomer Complaints HandlingMarket Abuse Regulation (MAR)Senior Managers and Certification Regime (SMCR), and Client Money and Assets (CASS).

Flexible and engaging, our selection of specialist FCA compliance courses focus on meeting FCA requirements, raising awareness amongst your employees and improving the overall conduct in line with FCA regulations. In line with the FCA’s focus on integrity in business, we also offer a course on ways to ensure your employees are Treating Customers Fairly.

All our FCA Compliance training courses are available off-the-shelf for ease of use; we can also work with your subject experts to tailor the approach and information to suit your organisation’s requirements. Using the Adapt Authoring Tool you can even modify our courses yourself.

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