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.
Good Outcomes for Vulnerable Customers Training Course
Companies have a legal obligation to identify the signs of vulnerability and ensure that vulnerable individuals are treated fairly.
Overview of the Consumer Duty
The FCA's Consumer Duty is a new standard which addresses the conduct of firms.
Meeting the Conduct Rules in FCA Solo Regulated Firms
The Conduct Rules are a fundamental aspect of the SMCR.
Whistleblowing in Financial Services
Our Whistleblowing training course educates employees on reporting misconduct safely and ensures protection.
Meeting the Conduct Rules in Dual Regulated Firms
The Conduct Rules are a fundamental aspect of the SMCR.
Complaints Handling
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.
Introduction to the Consumer Duty
The FCA's Consumer Duty is a new standard which addresses the conduct of firms.
Treating Customers Fairly
Treating Customers Fairly (TCF) applies to firms in the financial services industry.
Personal Conflicts of Interest
The FCA states that a firm must manage conflicts of interest between itself and its customers or other clients.
Introduction to UK Financial Regulation
NEDs are an important part of a firm's governance and provide independence and oversight.
Operational Resilience
The FCA has made operational resilience a requirement for banks, building societies, PRA-designated investment firms, enhanced scope firms and other financial institutions.
CASS Overview Compliance Training Course
The FCA's Client Assets Sourcebook (CASS) supports Principle 10 of the FCA's Principles for Businesses.
Conflicts of Interest in Asset Management
The FCA outlines its expectations that asset management firms establish and maintain an effective framework to identify, control and review conflicts of interest.
MCOB - General Standards
The Mortgage Conduct of Business (MCOB) for General Standards applies to all firms that deal with home finance.
Principles for Businesses
The FCA's Principles for Businesses apply to all financial services firms in the UK regulatory system.
Ethical Standards in Finance and Investment
The FCA's ethical standards apply to individuals in finance and investment.
BCOBS - General Standards
The FCA Banking Conduct of Business Sourcebook (BCOBS) applies to all firms that accept deposits from banking customers in the UK.
Training and Competence
Training and Competence (T&C) forms an important part of UK regulations under the FCA.
Overview of SM&CR for FCA Solo Firms
Our SMCR Overview training course will help your employees understand the key steps needed to comply with the regime.
COBS - Client Communications and Financial Promotions
The Conduct of Business Sourcebook (COBS) applies to financial firms in the UK that deal with client investments.
CONC Consumer Credit Compliance Training Course
The FCA's Consumer Credit sourcebook (CONC) applies to all firms engaged in credit-related regulatory activities in the UK.
Introduction to the Senior Managers and Certification Regime (SM&CR)
The UK's financial services sector has been rocked over the past decade by scandals ranging from misselling to market manipulation.
COBS - Client Categorisation
The Conduct of Business Sourcebook (COBS) applies to financial firms in the UK that deal with client investments.
Payment Services Regulations
The Payment Services Regulations (PSRs) 2017 was introduced in 2018 and set the Payment Services Directive 2 (PSD2) in motion.
Whistleblowing for Managers
Whistleblowing refers to disclosing corrupt, illegal or fraudulent activities committed by organisations.
Appropriate Use of Communication Channels
Not all communication channels are appropriate for business purposes.
Markets in Financial Instruments Directive II (MiFID II)
The Markets in Financial Instruments Directive (MiFID) originally aimed to increase competition and integration in markets for financial instruments.
COBS - Dealing and Managing
The FCA Conduct of Business Sourcebook (COBS) applies to financial firms in the UK.
Information Barriers
The flow of information in financial firms needs monitoring between businesses involved with private and public side activities.
Senior Management Arrangements Systems and Controls
The Senior Management Arrangements Systems and Controls (SYSC) Sourcebook apply to authorised financial services firms.
Conduct Rules for Senior Managers at Dual Regulated Firms
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).
MCOB - APRC, Shortfalls and Charges
The Mortgage Conduct of Business (MCOB) for the Annual Percentage Rate of Charge (APRC), shortfalls, and charges apply to home finance businesses.
FSCS Deposit Protection
The Financial Services Compensation Scheme (FSCS) safeguards customers' finances.
Complaints Handling for Managers
One of the three operational objections of the FCA is to protect consumers.
Overview of SM&CR for Dual Regulated Firms
Our SMCR Overview training course will help your employees understand the key steps needed to comply with the regime.
Fit and Proper Assessments
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.
Conduct Rules for Non-Executive Directors (NEDs)
NEDs are an important part of a firm's governance and provide independence and oversight.
Non-Financial Misconduct
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.
Conduct Rules for Senior Managers at FCA Solo Firms
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).
AIFM Regulations
The Alternative Investment Fund Managers Directive (AIFMD) was developed by the EU in order to create a harmonised framework of rules for regulating AIFMs.
Appointed Representatives Regulatory Responsibilities
The FCA expects companies to ensure all their appointed representatives know the provisions within the FCA handbook.
BCOBS - Distance Communications
The Banking Conduct of Business Sourcebook (BCOBS) applies to all firms accepting deposits from banking customers in the UK.
Benchmarks Regulation
The FCA defines a Benchmark as an index used to determine the value of or the amount payable under a financial instrument (or contract).
Breathing Space Regulations
Breathing Space Regulations apply to creditors whose debtors are eligible for additional time to repay their debt.
CASS 10 - CASS Resolution Pack
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 6 - Custody Rules
The rules and guidance in CASS 6 apply to a firm when it is safeguarding and administering custody assets.
CASS 7 and 7A - Client Money Rules and Client Money Distribution and Transfer
The rules and guidance in CASS aim to achieve the FCA's objective of ensuring that consumers are adequately protected.
CASS 8 - Mandates
Under the requirements of CASS 8, you must understand what a mandate is and how to deal with them.
CASS 9 - Information to Clients
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.
CeMAP Competency Refresher
The Certificate in Mortgage Advice & Practice (CeMAP) is a UK specific qualification issued by the London Institute of Banking & Finance (LIBF).
COBS - Appropriateness
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
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
The FCA Conduct of Business Sourcebook (COBS) applies to finance and investment firms in the UK.
Complaints Handling for the Mortgage Market
The FCA outlines complaints handling rules in the Dispute Resolution Sourcebook (DISP).
FX Global Code
The FX Global Code is a set of global principles of good practice in the foreign exchange market.
ICOBS - Cancellation and Claims in Finance
The Insurance Conduct of Business Sourcebook (ICOBS) applies to all non-investment insurance businesses.
ICOBS - Distance Communications
The Insurance Conduct of Business Sourcebook (ICOBS) for distance communications applies to all insurance firms that engage in distance marketing activity in the UK.
Introduction to the Perimeter Guidance Manual
PERG helps clarify when financial activities need FCA authorisation, as outlined by the Financial Services and Markets Act 2000 (FSMA).
MCOB - Advising and Selling
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.
MCOB - Disclosures
The Mortgage Conduct of Business (MCOB) for Disclosures applies to businesses involved in home finance transactions.
MCOB - Equity Release
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.
MCOB - Financial Promotions
The Mortgage Conduct of Business (MCOB) for Financial Promotions applies to financial promotions in the home finance business.
Mortgage Credit Directive
The EU Mortgage Credit Directive (MCD) applies to all businesses dealing with first-charge, second-charge, and buy-to-let mortgages.
Outsourcing and Third Party Risk Management
As the risk inherent to business relationships grow, regulators have been drafting and implementing outsourcing and third-party risk management rules and guidance.
Packaged Retail and Insurance-based Investment Products (PRIIPs) Regulation in Finance
The Packaged Retail and Insurance-based Investment Product (PRIIP) Regulation affects retail investors who need to understand the complexities of these products.
Pensions Ombudsman Complaints Handling
In the UK, the Pensions Ombudsman handles pension complaints and disputes at no cost to members of occupational and personal pension schemes.
Prudential Regulation
Prudential Regulation applies to firms in financial services.
Responsible Lending and Affordability
Responsible Lending and Affordability are non-negotiable principles that underpin the UK's mortgage market reform.
SEC Rule 15a-6
To engage in securities transactions with United States (US) clients, non-US firms must comply with Rule 15a-6 requirements.
Sustainability Disclosure Requirements (SDR) and Investment Labels
The introduction of sustainability rules aims to enhance the transparency and credibility of financial products with sustainability objectives.
Swap Execution Facilities (SEFs) and Designated Contract Markets (DCMs)
Swap Execution Facilities (SEFs) and Designated Contract Markets (DCMs) exist as part of the US response to the financial crisis.
UCITS
Undertakings for the Collective Investment in Transferable Securities (UCITS) Directive aims to offer asset managers and investors greater business opportunities.
UK Money Markets Code
The UK Money Markets Code provides a set of principles to promote the integrity and effective functioning of the UK money markets.
Understanding Failure to Prevent Fraud (FTPF) in Financial Services
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.
Understanding Failure to Prevent Fraud (FTPF) in Financial Services 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.
SDR and Investment Labels
Sustainability-related claims in financial products must be clear, transparent and backed by evidence.
ICOBS - General Matters
The Insurance Conduct of Business Sourcebook (ICOBS) for general matters applies to all firms engaged in the insurance business.
ICOBS - Providing Information and Advising
The Insurance Conduct of Business Sourcebook (ICOBS) for Providing Information and Advising applies to insurance intermediaries.
Car Finance Mis-selling
The Financial Conduct Authority banned discretionary commission arrangements in car finance due to concerns about unfair interest rates.
Developing Secure Applications
The way companies build software and technology systems is evolving very rapidly.
Conduct Rule 1: Act with Integrity
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
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
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
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
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
Financial services professionals must act in good faith, prevent foreseeable harm and support customers in achieving their financial objectives.
BCOBS - Distance Communications [Mutual]
The Banking Conduct of Business Sourcebook (BCOBS) applies to all firms accepting deposits from banking customers in the UK.
BCOBS - General Standards [Mutual]
The FCA Banking Conduct of Business Sourcebook (BCOBS) applies to all firms that accept deposits from banking customers in the UK.
ICOBS - Cancellation and Claims [Mutual]
The Insurance Conduct of Business Sourcebook (ICOBS) applies to all non-investment insurance businesses.
ICOBS - Distance Communications [Mutual]
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]
The Insurance Conduct of Business Sourcebook (ICOBS) for general matters applies to all firms engaged in the insurance business.
Payment Services Regulations [Mutual]
The Payment Services Regulations (PSRs) 2017 was introduced in 2018 and set the Payment Services Directive 2 (PSD2) in motion.
Principles for Businesses [Mutual]
The FCA's Principles for Businesses apply to all financial services firms in the UK regulatory system.
Treating Customers Fairly [Mutual]
Treating Customers Fairly (TCF) applies to firms in the financial services industry.
ICOBS - Providing Information and Advising [Mutual]
The Insurance Conduct of Business Sourcebook (ICOBS) for Providing Information and Advising applies to insurance intermediaries.
Financial Crime Prevention
Financial crime ranges from fraud, tax evasion, bribery, market abuse, insider dealing, money-laundering, to terrorist financing.
Conduct Risk
The FCA focuses on good customer outcomes and how a firm achieves this through staff conduct at all levels of the business.
Senior Management Arrangements Systems and Controls [Mutual]
The Senior Management Arrangements Systems and Controls (SYSC) Sourcebook apply to authorised financial services firms.
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