FCA Compliance Training Courses

AIFM Regulations

Educate your staff on 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 of suspicious activity.

About our FCA Course Library

Our FCA Course library of over 60 training modules covers everything from high-level and conduct of business standards to thematic topics, including treating customers fairly.

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

BCOBS - Distance Communications

Educate your staff on 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.

Educate your staff on how to advise, communicate and deal with retail banking customers in the UK.

Benchmarks Regulation

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

Educate your staff on 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.

Educate your staff on how to identify debtors who qualify for breathing space and what actions you will be required to take.

CASS - Client Money & Client Assets

Educate your staff on 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 employees' understanding of the key aspects of the Certificate in Mortgage Advice and Practice (CeMAP®).

COBS - Appropriateness

Educate your staff on 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

Educate your staff on the FCA's conduct of business rules for client categorisation in the investment business.

COBS - Client Communications

Educate your staff on the FCA's conduct of business rules for client communications, including real-time and non-real-time promotions in the investment business.

COBS - Dealing & Managing

Educate your staff on the FCA's conduct of business rules for dealing and managing in the investment business.

COBS - Suitability

Educate your staff on 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

Educate your staff on how to receive and handle complaints from retail clients in the financial services sector. 

Complaints Handling for Managers

Educate your leaders on how to best 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 a regulated process. Educate your staff on the procedures and best practice for complaints handling.

CONC - Consumer Credit Regulations

Give your staff an overview of the FCA's conduct of business rules for consumer credit firms and how these impact day-to-day operations.

Conduct Risk

Our Conduct Risk Course covers the right ways your employees should conduct themselves, from the way they treat customers, incentivise staff, deal with conflicts of interest, to how products are developed and sold.

Educate your staff on the conduct risks they may encounter in day-to-day business operations and how to manage them. 

Conduct Risk & Treating Customers Fairly

When conducting business, it is essential that your employees understand how to manage Conduct Risk and are aware of the harm that poor management can create.

Educate your staff on the FCAS's requirements for Treating Customers Fairly and best practice in this area. 

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 essential to maintain the trust of your customers.

Educate your staff on where these conflicts may arise and best practice on how they should be managed. 

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.

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.