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Financial Crime Prevention
There are two kinds of financial crime.
Good Outcomes for Vulnerable Customers
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 in Financial Services
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 in Financial Services
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.
Conduct Risk
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
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
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 Regulations
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.
SMCR & 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 in Finance
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).
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.
Prudential Regulation (GENPRU)
Educate your employees on the Prudential Standards for financial businesses in the UK.
Understanding Failure to Prevent Fraud (FTPF) in Financial Services
Learn how the Failure to Prevent Fraud offence works, what it means for our Company, and how you can help reduce risk by recognising fraud and supporting prevention procedures.
Understanding Failure to Prevent Fraud (FTPF) in Financial Services for Managers
Learn how the Failure to Prevent Fraud offence works, what it means for our Company, and how you, as a manager, can help reduce risk by recognising fraud and supporting prevention procedures.
