FCA Compliance E-learning Courses for Regulated Firms

Equip your team with the necessary tools to navigate every aspect of FCA regulations, from high-level and conduct of business standards to thematic topics such as Consumer Duty, vulnerable customers, and operational resilience.

These e-learning modules include sector-specific training for banking, investments, and mortgages, alongside a full set of FCA SMCR training courses.

Start your free trial Browse our FCA compliance courses

Ensure your company’s FCA compliance

Best for…

Companies looking for an engaging, all-encompassing FCA course library.

Hosted on…

The Skillcast Learning Management System or your existing platform.

Learn with…

Over 70 training modules, with sector-specific versions for banking, investments, and mortgages.

Stay on the right side of FCA regulations

Our FCA compliance course library is ideal for those looking to simplify the complexities of FCA regulations.

Financial services firms face a particularly complex regime when it comes to compliance, and breaches can result in unwanted penalties or sanctions. Education is vital in ensuring your employees understand their roles and adhere to regulations set by the FCA.

You can host our FCA course library on our fully managed LMS portal or use your own. Plus, you can customise this library by exploring our bespoke training plans.

Discover bespoke

Dive deeper into our FCA courses

See what’s included in our FCA course library below. Looking for something specific? Use the search bar to find what you need. If you have any questions, reach out and tell us more about your requirements — we’re happy to help.

SM&CR in Practice

In-depth 75 Minutes UK For managers

The Senior Managers and Certification Regime (SM&CR) is designed to improve accountability, governance and culture in financial services firms.

CeMAP Competency Refresher Training

In-depth 65 Minutes UK For all staff

The Certificate in Mortgage Advice & Practice (CeMAP) is a UK specific qualification issued by the London Institute of Banking & Finance (LIBF).

Conduct Rules for Senior Managers at Dual Regulated Firms

In-depth 60 Minutes UK For managers

Under the Senior Managers Regime, all senior managers must comply with the FCA's six Individual Conduct Rules (ICRs) and four Senior Managers Rules (SMRs).

Conduct Rules for Senior Managers at FCA Solo Firms

In-depth 60 Minutes UK For managers

Under the Senior Managers Regime, all senior managers must comply with the FCA's six Individual Conduct Rules (ICRs) and four Senior Managers Rules (SMRs).

FX Global Code Compliance Training Course

In-depth 60 Minutes UK For all staff

The FX Global Code is a set of global principles of good practice in the foreign exchange market.

Outsourcing and Third Party Risk Management Online Course

In-depth 60 Minutes UK For all staff

As the risk inherent to business relationships grow, regulators have been drafting and implementing outsourcing and third-party risk management rules and guidance.

Responsible Lending and Affordability Training Course

In-depth 60 Minutes UK For all staff

Responsible Lending and Affordability are non-negotiable principles that underpin the UK's mortgage market reform.

UK Money Markets Code Online Training Course

In-depth 60 Minutes UK For all staff

The UK Money Markets Code provides a set of principles to promote the integrity and effective functioning of the UK money markets.

Operational Resilience

In-depth 55 Minutes UK For all staff

The FCA has made operational resilience a requirement for banks, building societies, PRA-designated investment firms, enhanced scope firms and other financial institutions.

CASS 7 and 7A Client Money Rules and Client Money Distribution Training Course

In-depth 50 Minutes UK For all staff

The rules and guidance in CASS aim to achieve the FCA's objective of ensuring that consumers are adequately protected.

Conduct Risk

In-depth 50 Minutes UK For all staff

The FCA focuses on good customer outcomes and how a firm achieves this through staff conduct at all levels of the business.

Introduction to UK Financial Regulation

In-depth 45 Minutes UK For all staff

The regulatory framework in the UK applies to the financial services sector.

Information Barriers

In-depth 45 Minutes UK For all staff

The flow of information in financial firms needs monitoring between businesses involved with private and public side activities.

Benchmarks Regulation Training Course

In-depth 45 Minutes UK For all staff

The FCA defines a Benchmark as an index used to determine the value of or the amount payable under a financial instrument (or contract).

MCOB - Advertising and Selling Compliance Training Course

In-depth 45 Minutes UK For all staff

The Mortgage Conduct of Business (MCOB) Advising and Selling standards apply to businesses that advise on or arrange mortgage contracts, equity release transactions, home purchase plans or sale and rent back agreements.

Prudential Regulation Training Course for Financial Services Staff

In-depth 45 Minutes UK For all staff

Prudential Regulation applies to firms in financial services.

Developing Secure Applications

In-depth 45 Minutes UK For all staff

The way companies build software and technology systems is evolving very rapidly.

Complaints Handling FCA Compliance

In-depth 40 Minutes UK For all staff

The FCA has identified that the number of complaints submitted in the financial services sector has increased year on year in recent times in the UK.

Treating Customers Fairly FCA Compliance

In-depth 40 Minutes UK For all staff

Treating Customers Fairly (TCF) applies to firms in the financial services industry.

MCOB - General Standards

In-depth 40 Minutes UK For all staff

The Mortgage Conduct of Business (MCOB) for General Standards applies to all firms that deal with home finance.

Ethical Standards in Insurance and Investment Compliance E-Learning

In-depth 40 Minutes UK For all staff

The FCA's ethical standards apply to individuals in finance and investment.

CONC - Consumer Credit Regulations

In-depth 40 Minutes UK For all staff

The FCA's Consumer Credit sourcebook (CONC) applies to all firms engaged in credit-related regulatory activities in the UK.

Markets in Financial Instruments Directive II (MiFID II)

In-depth 40 Minutes UK For all staff

The Markets in Financial Instruments Directive (MiFID) originally aimed to increase competition and integration in markets for financial instruments.

Complaints Handling for the Mortgage Market Course

In-depth 40 Minutes UK For all staff

The FCA outlines complaints handling rules in the Dispute Resolution Sourcebook (DISP).

MCOB - Equity Release

In-depth 40 Minutes UK For all staff

The Mortgage Conduct of Business (MCOB) for Equity Release applies to businesses that make recommendations or provide personalised information to customers on equity release products.

Pensions Ombudsman Complaints Handling

In-depth 40 Minutes UK For all staff

In the UK, the Pensions Ombudsman handles pension complaints and disputes at no cost to members of occupational and personal pension schemes.

Treating Customers Fairly [Mutual]

In-depth 40 Minutes UK For all staff

Treating Customers Fairly (TCF) applies to firms in the financial services industry.

CASS Overview

In-depth 35 Minutes UK For all staff

The FCA's Client Assets Sourcebook (CASS) supports Principle 10 of the FCA's Principles for Businesses.

Whistleblowing for Managers (FS)

In-depth 35 Minutes UK For managers

Whistleblowing refers to disclosing corrupt, illegal or fraudulent activities committed by organisations.

Complaints Handling for Managers

In-depth 35 Minutes UK For managers

One of the three operational objections of the FCA is to protect consumers.

Understanding Failure to Prevent Fraud (FTPF) in Financial Services for Managers

In-depth 35 Minutes UK For managers

Failure to Prevent Fraud (FTPF) is a corporate offence that holds organisations criminally liable if they do not have reasonable measures in place to stop fraud committed by someone acting on their behalf.

Good Outcomes for Vulnerable Customers

In-depth 30 Minutes UK For all staff

Companies have a legal obligation to identify the signs of vulnerability and ensure that vulnerable individuals are treated fairly.

Overview of the Consumer Duty

In-depth 30 Minutes UK For all staff

The FCA's Consumer Duty is a new standard which addresses the conduct of firms.

Conflicts of Interest in Asset Management

In-depth 30 Minutes UK For all staff

The FCA outlines its expectations that asset management firms establish and maintain an effective framework to identify, control and review conflicts of interest.

Training and Competence

In-depth 30 Minutes UK For all staff

Training and Competence (T&C) forms an important part of UK regulations under the FCA.

Overview of SM&CR for FCA Solo Firms

In-depth 30 Minutes UK For all staff

Our SMCR Overview training course will help your employees understand the key steps needed to comply with the regime.

MCOB - APRC, Shortfalls and Charges

In-depth 30 Minutes UK For all staff

The Mortgage Conduct of Business (MCOB) for the Annual Percentage Rate of Charge (APRC), shortfalls, and charges apply to home finance businesses.

Overview of SM&CR for Dual Regulated Firms

In-depth 30 Minutes UK For all staff

Our SMCR Overview training course will help your employees understand the key steps needed to comply with the regime.

Conduct Rules for Non-Executive Directors (NEDs)

In-depth 30 Minutes UK For managers

NEDs are an important part of a firm's governance and provide independence and oversight.

CASS 6 - Custody Rules

In-depth 30 Minutes UK For all staff

The rules and guidance in CASS 6 apply to a firm when it is safeguarding and administering custody assets.

CASS 8 - Mandates

In-depth 30 Minutes UK For all staff

Under the requirements of CASS 8, you must understand what a mandate is and how to deal with them.

MCOB - Disclosures

In-depth 30 Minutes UK For all staff

The Mortgage Conduct of Business (MCOB) for Disclosures applies to businesses involved in home finance transactions.

MCOB - Financial Promotions

In-depth 30 Minutes UK For all staff

The Mortgage Conduct of Business (MCOB) for Financial Promotions applies to financial promotions in the home finance business.

Mortgage Credit Directive

In-depth 30 Minutes UK For all staff

The EU Mortgage Credit Directive (MCD) applies to all businesses dealing with first-charge, second-charge, and buy-to-let mortgages.

Packaged Retail and Insurance-based Investment Products (PRIIPs) Regulation

In-depth 30 Minutes UK For all staff

The Packaged Retail and Insurance-based Investment Product (PRIIP) Regulation affects retail investors who need to understand the complexities of these products.

Sustainability Disclosure Requirements (SDR) and Investment Labels

In-depth 30 Minutes UK For all staff

The introduction of sustainability rules aims to enhance the transparency and credibility of financial products with sustainability objectives.

UCITS

In-depth 30 Minutes UK For all staff

Undertakings for the Collective Investment in Transferable Securities (UCITS) Directive aims to offer asset managers and investors greater business opportunities.

Understanding Failure to Prevent Fraud (FTPF) in Financial Services

In-depth 30 Minutes UK For all staff

CASS 15 - Payment Services and Electronic Money: Relevant Funds

In-depth 30 Minutes UK For all staff

CASS 15 introduces a strengthened safeguarding regime for payment services and electronic money firms, designed to better protect customer funds in the event of firm failure.

Meeting the Conduct Rules in FCA Solo Regulated Firms

In-depth 25 Minutes UK For all staff

The Conduct Rules are a fundamental aspect of the SMCR.

Meeting the Conduct Rules in Dual Regulated Firms

In-depth 25 Minutes UK For all staff

The Conduct Rules are a fundamental aspect of the SMCR.

Personal Conflicts of Interest

In-depth 25 Minutes UK For all staff

The FCA states that a firm must manage conflicts of interest between itself and its customers or other clients.

BCOBS - General Standards

In-depth 25 Minutes UK For all staff

The FCA Banking Conduct of Business Sourcebook (BCOBS) applies to all firms that accept deposits from banking customers in the UK.

Payment Services Regulations

In-depth 25 Minutes UK For all staff

The Payment Services Regulations (PSRs) 2017 was introduced in 2018 and set the Payment Services Directive 2 (PSD2) in motion.

Senior Management Arrangements Systems and Controls

In-depth 25 Minutes UK For managers

The Senior Management Arrangements Systems and Controls (SYSC) Sourcebook apply to authorised financial services firms.

AIFM Regulations

In-depth 25 Minutes UK For all staff

The Alternative Investment Fund Managers Directive (AIFMD) was developed by the EU in order to create a harmonised framework of rules for regulating AIFMs.

Breathing Space Regulations

In-depth 25 Minutes UK For all staff

Breathing Space Regulations apply to creditors whose debtors are eligible for additional time to repay their debt.

CASS 10 - CASS Resolution Pack

In-depth 25 Minutes UK For all staff

A CASS Resolution Pack (RP) contains a specific set of documents that helps speed up client money and assets return if a firm fails.

CASS 9 - Information to Clients

In-depth 25 Minutes UK For all staff

Under the requirements of CASS 9, you are required to pass on certain information to clients, particularly where prime brokers, custody assets and client money are concerned.

Swap Execution Facilities (SEFs) and Designated Contract Markets (DCMs)

In-depth 25 Minutes UK For all staff

Swap Execution Facilities (SEFs) and Designated Contract Markets (DCMs) exist as part of the US response to the financial crisis.

BCOBS - General Standards [Mutual]

In-depth 25 Minutes UK For all staff

The FCA Banking Conduct of Business Sourcebook (BCOBS) applies to all firms that accept deposits from banking customers in the UK.

Payment Services Regulations [Mutual]

In-depth 25 Minutes UK For all staff

The Payment Services Regulations (PSRs) 2017 was introduced in 2018 and set the Payment Services Directive 2 (PSD2) in motion.

Financial Crime Prevention

In-depth 25 Minutes UK For all staff

Financial crime ranges from fraud, tax evasion, bribery, market abuse, insider dealing, money-laundering, to terrorist financing.

Senior Management Arrangements Systems and Controls [Mutual]

In-depth 25 Minutes UK For all staff

The Senior Management Arrangements Systems and Controls (SYSC) Sourcebook apply to authorised financial services firms.

Short Selling Regulations

In-depth 25 Minutes UK For all staff

Short selling plays an important role in financial markets but carries regulatory obligations and risks.

Principles for Businesses

In-depth 20 Minutes UK For all staff

The FCA's Principles for Businesses apply to all financial services firms in the UK regulatory system.

COBS - Client Communications and Financial Promotions

In-depth 20 Minutes UK For all staff

The Conduct of Business Sourcebook (COBS) applies to financial firms in the UK that deal with client investments.

COBS - Client Categorisation

In-depth 20 Minutes UK For all staff

The Conduct of Business Sourcebook (COBS) applies to financial firms in the UK that deal with client investments.

COBS - Dealing and Managing

In-depth 20 Minutes UK For all staff

The FCA Conduct of Business Sourcebook (COBS) applies to financial firms in the UK.

FSCS Deposit Protection

In-depth 20 Minutes UK For all staff

The Financial Services Compensation Scheme (FSCS) safeguards customers' finances.

Fit and Proper Assessments

Express 20 Minutes UK For all staff

In order to perform a Senior Management Function (SMF), Senior Managers need to be approved by the FCA and, for dual regulated firms, the PRA.

Appointed Representatives Regulatory Responsibilities

In-depth 20 Minutes UK For all staff

The FCA expects companies to ensure all their appointed representatives know the provisions within the FCA handbook.

COBS - Appropriateness

In-depth 20 Minutes UK For all staff

The FCA's Conduct of Business Sourcebook (COBS) applies to financial firms that deal with customer investments on an execution-only basis.

COBS - Client Communications High Risk Investments

In-depth 20 Minutes UK For all staff

The Conduct of Business Sourcebook (COBS) rules that relate to client communication apply to all promotional communications that investment firms have with their clients and prospects.

COBS - Suitability

In-depth 20 Minutes UK For all staff

The FCA Conduct of Business Sourcebook (COBS) applies to finance and investment firms in the UK.

Introduction to the Perimeter Guidance Manual

In-depth 20 Minutes UK For all staff

PERG helps clarify when financial activities need FCA authorisation, as outlined by the Financial Services and Markets Act 2000 (FSMA).

SEC Rule 15a-6

In-depth 20 Minutes UK For all staff

To engage in securities transactions with United States (US) clients, non-US firms must comply with Rule 15a-6 requirements.

ICOBS - Providing Information and Advising

In-depth 25 Minutes UK For all staff

The Insurance Conduct of Business Sourcebook (ICOBS) for Providing Information and Advising applies to insurance intermediaries.

Principles for Businesses [Mutual]

In-depth 20 Minutes UK For all staff

The FCA's Principles for Businesses apply to all financial services firms in the UK regulatory system.

ICOBS - Providing Information and Advising [Mutual]

In-depth 25 Minutes UK For all staff

The Insurance Conduct of Business Sourcebook (ICOBS) for Providing Information and Advising applies to insurance intermediaries.

Whistleblowing in Financial Services

In-depth 15 Minutes UK For all staff

Our Whistleblowing training course educates employees on reporting misconduct safely and ensures protection.

Introduction to the Consumer Duty

Express 15 Minutes UK For all staff

The Consumer Duty is a set of rules that regulated firms need to follow in order to ensure these firms are fair to customers for the entirety of their relationship with them.

Non-Financial Misconduct

Express 15 Minutes UK For all staff

Non-financial misconduct is behaviour that is unrelated to regulated activities, including serious offences such as harassment, bullying, sexual discrimination and sexual misconduct The FCA has indicated it is prepared to consider non-financial misconduct when assessing fitness and propriety.

BCOBS - Distance Communications

In-depth 15 Minutes UK For all staff

The Banking Conduct of Business Sourcebook (BCOBS) applies to all firms accepting deposits from banking customers in the UK.

ICOBS - Cancellation and Claims

In-depth 20 Minutes UK For all staff

The Insurance Conduct of Business Sourcebook (ICOBS) applies to all non-investment insurance businesses.

ICOBS - Distance Communications

In-depth 20 Minutes UK For all staff

The Insurance Conduct of Business Sourcebook (ICOBS) for distance communications applies to all insurance firms that engage in distance marketing activity in the UK.

ICOBS - General Matters

In-depth 20 Minutes UK For all staff

The Insurance Conduct of Business Sourcebook (ICOBS) for general matters applies to all firms engaged in the insurance business.

BCOBS - Distance Communications [Mutual]

In-depth 15 Minutes UK For all staff

The Banking Conduct of Business Sourcebook (BCOBS) applies to all firms accepting deposits from banking customers in the UK.

ICOBS - Cancellation and Claims [Mutual]

In-depth 20 Minutes UK For all staff

The Insurance Conduct of Business Sourcebook (ICOBS) applies to all non-investment insurance businesses.

ICOBS - Distance Communications [Mutual]

In-depth 20 Minutes UK For all staff

The Insurance Conduct of Business Sourcebook (ICOBS) for distance communications applies to all insurance firms that engage in distance marketing activity in the UK.

ICOBS - General Matters [Mutual]

In-depth 20 Minutes UK For all staff

The Insurance Conduct of Business Sourcebook (ICOBS) for general matters applies to all firms engaged in the insurance business.

Introduction to the Senior Managers and Certification Regime (SM&CR)

Express 10 Minutes UK For all staff

The UK's financial services sector has been rocked over the past decade by scandals ranging from misselling to market manipulation.

Appropriate Use of Communication Channels

In-depth 10 Minutes UK For all staff

Not all communication channels are appropriate for business purposes.

SDR and Investment Labels

Microlearning 5 Minutes UK For all staff

Sustainability-related claims in financial products must be clear, transparent and backed by evidence.

Car Finance Mis-selling

Microlearning 5 Minutes UK For all staff

The Financial Conduct Authority banned discretionary commission arrangements in car finance due to concerns about unfair interest rates.

Conduct Rule 1: Act with Integrity

Microlearning 5 Minutes UK For all staff

Integrity is a fundamental principle in financial services, ensuring ethical conduct and maintaining customer trust.

Conduct Rule 2: Act with due skill, care and diligence

Microlearning 5 Minutes UK For all staff

People working in financial services must act with due skill, care and diligence, ensuring their actions do not harm customers or the financial system.

Conduct Rule 3: Be open and cooperative with the FCA, the PRA and other regulators

Microlearning 5 Minutes UK For all staff

Financial services firms and employees must be open and cooperative with regulators, including the Financial Conduct Authority and the Prudential Regulation Authority.

Conduct Rule 4: Pay due regard to the interests of customers and treat them fairly

Microlearning 5 Minutes UK For all staff

Financial services professionals must always act in the best interests of customers and ensure they are treated fairly.

Conduct Rule 5: Observe proper standards of market conduct

Microlearning 5 Minutes UK For all staff

Financial markets rely on trust, integrity and adherence to established rules and ethical behaviour.

Conduct Rule 6: Act to deliver good outcomes for retail customers

Microlearning 5 Minutes UK For all staff

Financial services professionals must act in good faith, prevent foreseeable harm and support customers in achieving their financial objectives.

Boost your compliance efforts with purpose-designed software

The Skillcast Portal is your central platform for handling e-learning and policy management, staff disclosures, compliance registers, and more. Available in Standard, Enhanced, and Premium plans, the Skillcast Portal elevates how you deliver compliance training. All plans come with our five-star managed services and security as standard.

Learn more about our portal

Learn how we boosted MS Amlin’s course completion rate to 100%

Start your free trial Read their story

Start your free trial

With this no-obligation free trial you'll have access to our libraries and compliance platform.

Ready to start? Complete the form, and a member of the Skillcast team will be in touch with further details on how your trial works, what's included, and how to get started.