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.
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.
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.
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.
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.
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.
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.
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.
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.
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.
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.
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.
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.
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.
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.
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.
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.
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.
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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