Learn about the FCA regulations for Alternative Investment Fund Managers in the UK. [Duration: 20 min]
Learn about what it takes to be an Approved Person under the FCA's regulatory regime, what their role is and the Principles that they are expected to adhere to. [Duration: 40 min]
Learn about the FCA's conduct of business rules for the retail banking business using distance communications. [Duration: 15 min]
Learn about the FCA's conduct of business rules that apply to retail banking businesses in the UK. [Duration: 25 min]
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.[Duration: 35 min]
Learn about the FCA's rules for the administration of client assets and client money, including the requirements to segregate and safeguard these assets. [Duration: 25 min]
Refresh your understanding of the key aspects of the Certificate in Mortgage Advice and Practice (CeMAP®). [Duration: 75 min]
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. [Duration: 20 min]
Learn about the FCA's conduct of business rules for client categorisation in the investment business. [Duration: 20 min]
Learn about the FCA's conduct of business rules for client communications - eg real-time and non-real-time promotions - in the investment business. [Duration: 20 min]
Learn about the FCA's conduct of business rules for dealing and managing in the investment business. [Duration: 20 min]
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. [Duration: 20 min]
Learn how to receive and handle complaints from retail clients in the financial services sector. [Duration: 20 min]
Dealing with customer complaints in the mortgage business is itself regulated. Learn the procedures and best practice for complaints handling. [Duration 30 min]
Get an overview of the FCA's conduct of business rules for consumer credit firms. [Duration: 40 min]
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. [Duration: 60 min]
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. [Duration: 30 min]
Learn about the fundamental responsibilities of professionals working in financial services, including those to their employer, customers and third parties. [Duration: 45 min]
Learn about the FCA's conduct of business rules for cancellation and claims that apply to the insurance business. [Duration: 15 min]
Learn about the FCA's conduct of business rules for dealing using distance communications in the insurance business. [Duration: 20 min]
Learn about the FCA's general conduct of business rules in the insurance business. [Duration: 20 min]
Learn about the FCA's conduct of business rules for providing information and advising in the insurance business. [Duration: 20 min]
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. [Duration: 30 min]
Learn about the impact of the FCA's regulations on the consumer credit business, including conduct rules and the requirements for treating customers fairly. [Duration: 75 min]
MiFID II represents a fundamental change 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. [Duration: 25 min]
Learn about the FCA's conduct of business rules that apply to advising and selling in the home finance business. [Duration: 20 min]
Learn about the FCA's conduct of business rules that apply to the calculation of APRC, shortfalls and charges in the home finance business. [Duration: 20 min]
Learn about the FCA's conduct of business rules regarding the required pre and post sale disclosures in the home finance business. [Duration: 20 min]
Learn about the FCA's conduct of business rules that apply to equity release contracts in the home finance business. [Duration: 30 min]
Learn about the FCA's conduct of business rules that apply to financial promotions in the home finance business. [Duration: 30 min]
Learn about the FCA's general conduct of business rules that apply in the home finance business. [Duration: 25 min]
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. [Duration: 25 min]
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. [Duration: 45 min]
Learn about the FCA's regulations that apply to payment services businesses. [Duration: 25 min]
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. [Duration: 25 min]
Learn about the FCA's 11 Principles for Businesses that apply to financial firms in the UK. [Duration: 20 min]
Get an overview of the Prudential Standards for financial businesses in the UK. [Duration: 25 min]
Learn about the FCA's responsible lending and affordability rules for the home finance business in the UK. [Duration: 60 min]
Learn about the responsibilities of senior managers under the FCA's systems and controls regime for financial services firms in the UK. [Duration: 20 min]
Learn about the FCA's rules for training and competence of staff in the financial services business. [Duration: 35 min]
Learn about the FCA's requirements for Treating Customers Fairly (TCF) and managing Conduct Risk. [Duration: 40 min]
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 latest directive - UCITS V.[Duration:30min]
Whistleblowing on 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. [Duration: 15 min]
