FCA Compliance Training Courses

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.

Our AIFM Regulations Training Course explains the aims and benefits of the AIFMD, defines an AIF and an AIFM, and outlines the different requirements that are imposed on AIFMs by the FCA Handbook.

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

The UK, like most countries, has enacted tough anti-money laundering (AML) and counter-terrorist financing legislation with severe penalties.

Our UK AML & CTF Course will help your staff understand their obligations regarding prevention, due diligence and reporting suspicious activity.

About our FCA Course Library

Skillcast FCA Course Library contains over 60 training modules covering everything from high-level and conduct of business standards to thematic topics, including treating customers fairly.

Our comprehensive compliance training content includes sector-specific versions for banking, investments and mortgages, plus a full set of SMCR training courses.

BCOBS - Distance Communications

The Banking Conduct of Business Sourcebook (BCOBS) applies to all firms accepting deposits from banking customers in the UK. BCOBS rules cover distance marketing and distance banking accounts.

Our BCOBS for Distance Communications Training Course explains 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 (BCOBS) applies to all firms that accept deposits from banking customers in the UK. BCOBS rules outline the general standards for retail banking businesses.

Our BCOBS for General Standards Training Course explains the FCA's Conduct of Business Rules, focusing on how to deal with retail 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). Alternatively, it measures investment fund performance.

Our Benchmarks Regulation Training Course explains the importance of following proper conduct, the repercussions for violating regulations, and how to avoid these.

Breathing Space Regulations

Breathing Space Regulations apply to creditors whose debtors are eligible for additional time to repay their debt. During this period, creditors need to suspend all actions related to this debt.

Our Breathing Space Regulations Course outlines the basis of these regulations, explains how to identify debtors who qualify for breathing space, and the required actions by creditors.

CASS - Client Money & Client Assets

The Client Assets Sourcebook (CASS) outlines a firm's duty to separate its assets from a client's and safeguard these assets. CASS rules cover client money and client assets.

Our CASS for Client Money and Client Assets Course explains the FCA's rules for administering these client assets with a focus on both custody and client money rules.

CeMAP Competency Refresher

The Certificate in Mortgage Advice & Practice (CeMAP) is a UK specific qualification issued by the London Institute of Banking & Finance (LIBF).CeMAP meets the FCA's required standards for a licensed mortgage advisor.

Our CeMAP Competency Refresher Training Course revises all the key aspects of CeMAP and helps identify elements of FCA regulations that feature in the CeMAP examination.

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 rules cover assessing appropriateness of a product for a customer.

Our COBS for Appropriateness Course explains the FCA Conduct of Business Rules for financial firms, how to test appropriateness and when this test should be applied.

COBS - Client Categorisation

The Conduct of Business Sourcebook (COBS) applies to financial firms in the UK that deal with client investments. COBS rules cover client categorisation. Client categorisation is based on the client's level of sophistication.

Our COBS for Client Categorisation Course covers the different client categories and explains the FCA Conduct of Business Rules for client categorisation in the investment business.

COBS - Client Communications

The Conduct of Business Sourcebook (COBS) applies to financial firms in the UK that deal with client investments. COBS rules cover client communications. Client communications refer to any document likely to be read by a retail client.

Our COBS for Client Communications Course explains the FCA Conduct of Business Rules for communicating with clients in the investment business.

COBS - Dealing & Managing

The FCA's Conduct of Business Sourcebook (COBS) applies to financial firms in the UK. COBS rules cover dealing and managing in the investment business.

Our COBS for Dealing and Managing Training Course explains the FCA's rules, focusing on best execution, order aggregation and the use of dealing commissions.

COBS - Suitability

The FCA Conduct of Business Sourcebook (COBS) applies to finance and investment firms in the UK. COBS covers assessing product or service suitability for clients.

Our COBS for Suitability Training Course explains the FCA's Conduct of Business Rules for advising and dealing with investments for retail clients on a discretionary basis.

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.

Our Complaints Handling Training Course explains the FCA's rules for appropriately handling complaints from retail clients in the financial services sector.

Complaints Handling for Managers

One of the three operational objections of the FCA is to protect consumers. Firms are required to follow a principles-based approach to dealing with client complaints. Managers play a vital role in enforcing this.

Our Complaints Handling for Managers Course explains the FCA's rules on how best to manage complaints from retail clients in the financial services sector.

Complaints Handling in the Mortgage Market

The FCA outlines complaints handling rules in the Dispute Resolution Sourcebook (DISP). This guidance applies to the mortgage market.

Our Complaints Handling in the Mortgage Market explains the procedures involved in dealing with mortgage client complaints and the best practice for complaints handling.

CONC - Consumer Credit Regulations

The FCA's Consumer Credit sourcebook (CONC) applies to all firms engaged in credit-related regulatory activities in the UK. This includes firms involved with debt counselling and credit broking.

Our CONC - Consumer Credit Regulations Course explains the FCA's Conduct of Business Rules for consumer credit firms and how these impact daily operations.

Conduct Risk

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

Our Conduct Risk Course explains the FCA's approach to Conduct Risk as well as how to recognise and manage conduct risks in daily operations.

Conduct Risk & Treating Customers Fairly

The FCA rules focus on how a firm can achieve good customer service. Conduct Risk and Treating Customers Fairly (TCF) are keystones of regulation.

Our Conduct Risk and TCF Course explains how to identify and manage Conduct Risk as well as the FCA's requirements for treating customers fairly.

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.

Our Conflicts of Interest in Asset Management Course explains how conflicts of interest may arise and best practice for managing them.

Ethical Standards in Finance & Investment

Educate your staff on the fundamental responsibilities of professionals working in financial services, including duties towards employers, customers and third parties.

Fair Treatment of Vulnerable Customers

Companies have a legal obligation to ensure that vulnerable individuals do not suffer any detriment and are given the appropriate level of care.

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

Financial Crime Prevention

Financial crime ranges from fraud, tax evasion, bribery, market abuse, insider dealing, 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.

FX Global Code

The FX Global Code is a set of global principles of good practice in the foreign exchange market. Understand how this code applies to each role and what staff need to do to comply with each of its 55 principles.

ICOBS - Cancellation & Claims

Educate your staff on the FCA's conduct of business rules for cancellation and claims that apply to the insurance business.

ICOBS - Distance Communications

Educate your staff on the FCA's conduct of business rules for dealing using distance communications in the insurance business.

ICOBS - General Matters

Educate your staff on the FCA's general conduct of business rules in the insurance business.

ICOBS - Providing Information & Advising

Educate your staff on the FCA's conduct of business rules for providing information and advising in the insurance business.

Information Barriers

Educate your staff on how information barriers are used to control the flow of confidential and inside information within your Company to meet regulatory requirements and manage potential conflicts of interests.

Introduction to UK Financial Regulation

Educate your staff on 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

Educate your staff on the FCA's conduct of business rules that apply to advising and selling in the home finance business.

MCOB - APRC, Shortfalls & Charges

Educate your staff on the FCA's conduct of business rules that apply to the calculation of APRC, shortfalls and charges in the home finance business.

MCOB - Disclosures

Educate your staff on the FCA's conduct of business rules regarding the required pre and post-sale disclosures in the home finance business.

MCOB - Equity Release

Educate your staff on the FCA's conduct of business rules that apply to equity release contracts in the home finance business.

MCOB - Financial Promotions

Educate your staff on the FCA's conduct of business rules that apply to financial promotions in the home finance business.

MCOB - General Standards

Educate your staff on 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.

Educate your staff on 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, the 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

Educate your staff on 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, as well as gifts and entertainment.

Educate your staff on how to recognise and deal with such conflicts of interest.

Principles for Businesses (FCA)

Educate your staff on the FCA's 11 Principles for Businesses that apply to financial firms in the UK.

Prudential Regulation

Educate your staff on the Prudential Standards for financial businesses in the UK.

Responsible Lending & Affordability

Educate your staff on the FCA's responsible lending and affordability rules for the home finance business in the UK.

Retail Distribution Review

Educate your staff on 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 banks 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

Educate your staff on the responsibilities of senior managers under the FCA's systems and controls regime for financial services firms in the UK.

Training & Competence

Educate your staff on the FCA's rules for training and competence of staff in the financial services business.

Treating Customers Fairly

Educate your staff on the FCA's requirements for Treating Customers Fairly 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 attractive to investors.

Educate your staff on the rule changes arising from the latest directive - UCITS V.

Whistleblowing in FS for Managers

Educate your leaders on the value of whistleblowing, their duty to blow the whistle when appropriate, how they will be protected for doing so, and their duties in relation to your Company's Whistleblowing Policy.

Whistleblowing in FS for All Staff

Whistleblowing about internal malpractices and external threats is extremely important for the functioning and survival of your Company.

This Course will help your staff to understand their responsibility to blow the whistle and the protection they get if they do so.