FCA Compliance Training Courses

AIFM Regulations

Learn about the FCA regulations for Alternative Investment Fund Managers in the UK - based on the EU's Alternative Investment Fund Managers Directive (AIFMD).

Anti-Money Laundering & Counter-Terrorist Financing (UK)

Our UK Anti-Money Laundering & Counter-Terrorist Financing Course will help your staff understand their obligations regarding prevention, due diligence and reporting suspicious activity.

BCOBS - Distance Communications

Learn about the FCA's conduct of business rules for the retail banking business using distance communications.

BCOBS - General Standards

The FCA Banking Conduct of Business Sourcebook rules and guidelines apply to all UK retail banking firms in the UK.

Learn how to advise, communicate and deal with retail banking customer s in the UK.

Benchmarks Regulation

Following the LIBOR and Forex fixing scandals, regulators are focussing keenly on the production of these benchmarks.

Learn about the rules governing the conduct of those involved in the setting of benchmarks.

Breathing Space Regulation

Regulation has been created to help debtors avoid problem debts, have greater control, and stabilise their debt repayments.

Learn how to identify debtors who qualify for breathing space and what actions you will be required to take.

CASS - Client Money & Client Assets

Learn about the FCA's rules for the administration of client assets and client money, including the requirements to segregate and safeguard these assets.

CeMAP Competency Refresher

Refresh your understanding of the key aspects of the Certificate in Mortgage Advice and Practice (CeMAP®).

COBS - Appropriateness

Learn about the appropriateness test required under the FCA's conduct of business rules for advising or dealing with customers in relation to investments on an execution-only basis.

COBS - Client Categorisation

Learn about the FCA's conduct of business rules for client categorisation in the investment business.

COBS - Client Communications

Learn about the FCA's conduct of business rules for client communications - eg real-time and non-real-time promotions - in the investment business.

COBS - Dealing & Managing

Learn about the FCA's conduct of business rules for dealing and managing in the investment business.

COBS - Suitability

Learn about the suitability test required under the FCA's conduct of business rules for advising or dealing with customers in relation to investments on a discretionary basis.

Complaints Handling

Learn how to receive and handle complaints from retail clients in the financial services sector.

Complaints Handling for Managers

Learn how to manage the receipt and handling of complaints from retail clients in the financial services sector.

Complaints Handling in the Mortgage Market

Dealing with customer complaints in the mortgage business is itself regulated. Learn the procedures and best practice for complaints handling.

CONC - Consumer Credit Regulations

An overview of the FCA's conduct of business rules for consumer credit firms.

Conduct Risk

Conduct Risk covers how we conduct ourselves, from the way we treat our customers, how we incentivise staff, how we deal with conflicts of interest, how we develop products and how we sell them. Find out the risks we face in our business and how we manage them.

Conduct Risk & Treating Customers Fairly

When conducting business, it is essential that you understand how to manage Conduct Risk and are aware of the harm that poor management can create. What's more, you'll need to follow the FCA's requirements for Treating Customers Fairly (TCF) at all times too.

Conflicts of Interest in Asset Management

Conflicts of interest in the asset management business are a key area of concern for the FCA. Management of these conflicts is also important to keep the trust of our customers. Find out how these conflicts arise and how they should be managed.

Ethical Standards in Finance & Investment

Learn about the fundamental responsibilities of professionals working in financial services, including those to their employer, customers and third parties.

Fair Treatment of Vulnerable Customers

People can be vulnerable to a variety of reasons. Companies have a legal obligation to ensure that they do not suffer any detriment and provide them with an appropriate level of care.

Our Fair Treatment of Vulnerable Customers Course will help your employees to better address the needs of those in vulnerable circumstances.

Financial Crime Prevention

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

Our Financial Crime Prevention course will help your employees recognise the various types of crime as well as when and how to seek advice or report concerns.

ICOBS - Cancellation & Claims

Learn about the FCA's conduct of business rules for cancellation and claims that apply to the insurance business.

ICOBS - Distance Communications

Learn about the FCA's conduct of business rules for dealing using distance communications in the insurance business.

ICOBS - General Matters

Learn about the FCA's general conduct of business rules in the insurance business.

ICOBS - Providing Information & Advising

Learn about the FCA's conduct of business rules for providing information and advising in the insurance business.

Information Barriers

Learn how information barriers are used to control the flow of confidential and inside information within the Firm to meet regulatory requirements and manage potential conflicts of interests.

Introduction to UK Financial Regulation

Learn about the impact of the FCA's regulations on the consumer credit business, including conduct rules and the requirements for treating customers fairly.

MiFID II

The Markets in Financial Instruments Directive II (MiFID II) represents a fundamental change in the regulation of investment business and financial instruments in the EU. Learn about how it impacts our business from research and suitability checks to trading and disclosures.

MCOB - Advising & Selling

Learn about the FCA's conduct of business rules that apply to advising and selling in the home finance business.

MCOB - APRC, Shortfalls & Charges

Learn about the FCA's conduct of business rules that apply to the calculation of APRC, shortfalls and charges in the home finance business.

MCOB - Disclosures

Learn about the FCA's conduct of business rules regarding the required pre and post-sale disclosures in the home finance business.

MCOB - Equity Release

Learn about the FCA's conduct of business rules that apply to equity release contracts in the home finance business.

MCOB - Financial Promotions

Learn about the FCA's conduct of business rules that apply to financial promotions in the home finance business.

MCOB - General Standards

Learn about the FCA's general conduct of business rules that apply in the home finance business.

Mortgage Credit Directive

The EU Mortgage Credit Directive impacts businesses dealing in first charge, second charge and buy-to-let mortgages. Learn about the documentation and procedural requirements of this regulation.

Mortgage Market Review

Learn about how the FCA has reformed the mortgage market with new affordability and responsible lending rules, distinction between advice and execution-only sales, and professional standards.

PRIIPs Regulation

The Packaged Retail and Insurance-based Investment Products (PRIIPs) Regulation has applied since 1 January 2018. Review the key points of the PRIIPs regulation including the production and delivery of mandatory key information to retail investors.

Payment Services Regulations

Learn about the FCA's regulations that apply to payment services businesses.

Personal Conflicts of Interest

Individuals working in regulated businesses must manage conflicts of interest with their employers or customers that arise out of their personal investments, outside business interests, and gifts and entertainment. Learn to recognise and deal with such conflicts of interest.

Principles for Businesses (FCA)

Learn about the FCA's 11 Principles for Businesses that apply to financial firms in the UK.

Prudential Regulation

Get an overview of the Prudential Standards for financial businesses in the UK.

Responsible Lending & Affordability

Learn about the FCA's responsible lending and affordability rules for the home finance business in the UK.

Retail Distribution Review

Learn about the FCA's Retail Distribution Review (RDR) for the financial advice business in the UK.

SEC Rule 15a-6

The purpose of this course is to provide non-US employees of the Bank with an overview of the exemptions afforded by this Rule in doing business in the US.

SEFs & DCMs

To bring stability and transparency to the swaps market the G-20 agreed that swaps must be executed on a centralised platform.

Our SEF & DCMs Course will help your employees understand each platform, when to use them and the key rules that are applicable to transactions.

Senior Management Arrangements Systems & Controls

Learn about the responsibilities of senior managers under the FCA's systems and controls regime for financial services firms in the UK.

Training & Competence

Learn about the FCA's rules for training and competence of staff in the financial services business.

Treating Customers Fairly

Learn about the FCA's requirements for Treating Customers Fairly (TCF) and managing Conduct Risk.

UCITS

The UCITS directives provide the regulatory framework for investment funds across the EU with high levels of investor protection that make these funds so attractive to investors. Learn about the rule changes arising from the latest directive - UCITS V.

Whistleblowing in FS for Managers

Learn about the value of whistleblowing, your duty to blow the whistle when appropriate and how you will be protected for doing so, and your duty in relation to our Whistleblowing Policy.

Whistleblowing in FS for All Staff

Whistleblowing about internal malpractices and external threats is extremely important for the functioning and survival of our company. Learn about your responsibility to blow the whistle and the protection given to whistleblowers.