Skip to content

Protect your business from the increasing threats to financial services

Compliance is a cornerstone of trust in the financial services industry. Ensure the delivery of consistent training to meet the FCA’s expectations, avoid financial crime, and foster a culture of integrity and accountability.

financial_services_1
blurred-dots-icon
Before working with Skillcast, our mandatory and refresher training was a labour intensive process focussed on administration and keeping materials up to date. Now it is a system that delivers 100% compliance with up-to-date and relevant material. It has freed us up as a business to concentrate far more on the learner experience instead of ticking boxes

Senior Talent and Development Consultant
MS ABS

Read their story
financial_services_2

Turn your compliance challenges into successes

Build confidence in your compliance efforts. With Skillcast, you’ll benefit from regularly updated learning materials that provide engaging training to upskill your teams.

Available in various delivery formats and centralised within the Skillcast portal, our financial services compliance training packages offer digestible education on anti-bribery, financial crime, FCA compliance, and more.

View our financial crime training package
Learn about the Skillcast Portal

Why choose Skillcast?

Boost employee engagement

Employee buy-in is crucial to the success of compliance initiatives. When you choose Skillcast, your learners will benefit from 400+ e-learning courses delivered in engaging formats to ease learning. With Standard plan, you’ll ensure your learners have access to the necessary tools to upskill in key compliance areas.

Simplify complex requirements

Compliance can be daunting, especially when you’re a small business. Changing regulations can feel like you’re aiming at a moving target, but our regularly updated training modules break down modern compliance legislation, making it straightforward to improve compliance knowledge across various topics.

Ensure training consistency

Maintaining a high standard of training across multiple topics, teams, and locations can be challenging. With our learning management system (LMS), you can ensure consistent training delivery and track learner progress from a central location.

Measure training effectiveness

Effective compliance goes further than just course completion rates. With Skillcast, you can track knowledge retention and improvements with assessments, and top up learning over time with refresher courses. Plus, tracking tools help you demonstrate to regulators that training and monitoring are in place, as well as the effectiveness of your training.

Overcome cultural resistance

Our solutions help you turn compliance learning from a ‘box-ticking exercise’ into an engaging, enjoyable experience for your employees. Focusing on ethical decision-making and the practical benefits of compliance, our e-learning courses help you foster a culture of accountability and integrity throughout your organisation.

Benefit from the Skillcast service

Our courses are much more than just learning materials. Our e-learning packages feature a comprehensive LMS, diagnostic assessments, and training records and certificates to evidence compliance. Plus, our record speaks for itself — we’ve proudly earned the Feefo Platinum Service Award five years in a row.

Reduce business risk with our financial services training package

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.

Experience compliance made simple with your free trial

Start your free trial

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).

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.

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).

Breathing Space Regulations

Breathing Space Regulations apply to creditors whose debtors are eligible for additional time to repay their debt.

CASS 10 - CASS Resolution Pack

A CASS Resolution Pack (RP) contains a specific set of documents that helps speed up client money and assets return if a firm fails.

CASS 6 - Custody Rules

The rules and guidance in CASS 6 apply to a firm when it is safeguarding and administering custody assets.

CASS 7 and 7A - Client Money Rules and Client Money Distribution and Transfer

The rules and guidance in CASS aim to achieve the FCA's objective of ensuring that consumers are adequately protected.

CASS 8 - Mandates

Under the requirements of CASS 8, you must understand what a mandate is and how to deal with them.

CASS 9 - Information to Clients

Under the requirements of CASS 9, you are required to pass on certain information to clients, particularly where prime brokers, custody assets and client money are concerned.

CeMAP Competency Refresher

The Certificate in Mortgage Advice & Practice (CeMAP) is a UK specific qualification issued by the London Institute of Banking & Finance (LIBF).

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 - Client Communications High Risk Investments

The Conduct of Business Sourcebook (COBS) rules that relate to client communication apply to all promotional communications that investment firms have with their clients and prospects.

COBS - Suitability

The FCA Conduct of Business Sourcebook (COBS) applies to finance and investment firms in the UK.

Complaints Handling for the Mortgage Market

The FCA outlines complaints handling rules in the Dispute Resolution Sourcebook (DISP).

FX Global Code

The FX Global Code is a set of global principles of good practice in the foreign exchange market.

ICOBS - Cancellation and Claims in Finance

The Insurance Conduct of Business Sourcebook (ICOBS) applies to all non-investment insurance businesses.

ICOBS - Distance Communications in Finance

The Insurance Conduct of Business Sourcebook (ICOBS) for distance communications applies to all insurance firms that engage in distance marketing activity in the UK.

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.

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.

MCOB - Disclosures

The Mortgage Conduct of Business (MCOB) for Disclosures applies to businesses involved in home finance transactions.

MCOB - Equity Release

The Mortgage Conduct of Business (MCOB) for Equity Release applies to businesses that make recommendations or provide personalised information to customers on equity release products.

MCOB - Financial Promotions

The Mortgage Conduct of Business (MCOB) for Financial Promotions applies to financial promotions in the home finance business.

Mortgage Credit Directive

The EU Mortgage Credit Directive (MCD) applies to all businesses dealing with first-charge, second-charge, and buy-to-let mortgages.

Outsourcing and Third Party Risk Management

As the risk inherent to business relationships grow, regulators have been drafting and implementing outsourcing and third-party risk management rules and guidance.

Packaged Retail and Insurance-based Investment Products (PRIIPs) Regulation in Finance

The Packaged Retail and Insurance-based Investment Product (PRIIP) Regulation affects retail investors who need to understand the complexities of these products.

Pensions Ombudsman Complaints Handling

In the UK, the Pensions Ombudsman handles pension complaints and disputes at no cost to members of occupational and personal pension schemes.

Prudential Regulation (GENPRU)

Prudential Regulation applies to firms in financial services.

Responsible Lending and Affordability

Responsible Lending and Affordability are non-negotiable principles that underpin the UK's mortgage market reform.

SEC Rule 15a-6

To engage in securities transactions with United States (US) clients, non-US firms must comply with Rule 15a-6 requirements.

Sustainability Disclosure Requirements (SDR) and Investment Labels

The introduction of sustainability rules aims to enhance the transparency and credibility of financial products with sustainability objectives.

Swap Execution Facilities (SEFs) and Designated Contract Markets (DCMs)

Swap Execution Facilities (SEFs) and Designated Contract Markets (DCMs) exist as part of the US response to the financial crisis.

UCITS

Undertakings for the Collective Investment in Transferable Securities (UCITS) Directive aims to offer asset managers and investors greater business opportunities.

UK Money Markets Code

The UK Money Markets Code provides a set of principles to promote the integrity and effective functioning of the UK money markets.

Understanding Failure to Prevent Fraud (FTPF) in Financial Services

Failure to Prevent Fraud (FTPF) is a corporate offence that holds organisations criminally liable if they do not have reasonable measures in place to stop fraud committed by someone acting on their behalf.

Understanding Failure to Prevent Fraud (FTPF) in Financial Services for Managers

Failure to Prevent Fraud (FTPF) is a corporate offence that holds organisations criminally liable if they do not have reasonable measures in place to stop fraud committed by someone acting on their behalf.

financial_services_3

Your platform for compliance success

Benefit from a fully equipped learning platform to support your training delivery. With the Skillcast Portal, you’ll have the tools to handle e-learning and policy management, staff disclosures, compliance registers, events, and more — all in one place. Or, if you’d prefer to use your existing LMS, you can host our course content on your current platform. Learn more about the Skillcast Portal or discuss your options with an expert by booking a demo. 

With Skillcast, MS Amlin achieved 100% completion rates for all employees

 

Your questions, answered

Are Skillcast courses SCORM-compliant?

Yes. This means they can be delivered via the Skillcast Portal or any other SCORM-compliant Learning Management System.

What other tools are needed beyond training?

A comprehensive compliance solution often needs more than just training. Alongside e-learning, tools like declarationssurveys, and registers that track compliance tasks are usually essential. Skillcast provides full support to help you set up these additional tools.

Is our training content still compliant with the latest legislation?

  • You can check the latest course content updates in our library updates page: https://www.skillcast.com/compliance-course-library-updates
  • For major legislative changes, we:
    • Will send you email alerts to ensure you are notified
    • Offer you a free trial of newly created or updated content
    • Host webinars with compliance experts to explain the changes and how our training supports your ongoing compliance

Can you translate our content into other languages?

Yes, we offer translations in a wide range of languages. Let us know your needs, and we’ll confirm availability or work with you to plan translations for your selected modules.

How can I give employees a secure way to record suspicious activity so we can act quickly?

Our Suspicious Activity Register allows staff to log concerns or irregularities they observe, helping you detect potential issues early. The secure register can be reviewed by compliance teams, enabling prompt investigation and action.

What file types are supported by the Skillcast system?

Features

Supported file types and details

File Exchange

File types: PDF, Excel spreadsheets, Word documents, SCORM and xAPI files, and compressed zip files. Max file size: Default is 1GB, can be increased to a max of 2GB

SCORM files

Versions: SCORM 1.2, SCORM 1.2 for Moodle, SCORM 2004 2nd, 3rd and 4th Edition. Max file size: 1024MB

xAPI file

Max file size: 2GB

Videos

File types: MP4 or MOV. Videos must be optimised, with a max file size of 100MB. If the file is bigger, our Design Team can help

Images

File types: jpg, png and gif. The file size should ideally be 100KB, but it can be up to 250KB

CPD evidence

File types: Word, PDF, Excel and CSV. File size: the limit should be whatever the portal config option is set to. Servers are set to max 2GB

Policy documents

PDF or Word File size: the limit should be whatever the portal config option is set to. Servers are set to max 2GB

Offline activities evidence

File types: PDF, DOC, DOCX, XLS, XLSX, CSV, PNG, GIF, JPEG, JPG, PPTX and MSG. File size: the limit should be whatever the portal config option is set to. Servers are set to max 2GB

Client logo files

File types provided by client: EPS, PDF, AI and SVG

Registers

PDF, DOC, DOCX, XLS, XLSX, CSV, PPT, PPTX, POT, PPA, PPS, JPG, JPEG, PJEPG, PNG, BMP, GIF, MP4, MOV, WMV, CPTX, CP, TXT, ZIP and MSG files

Declarations

JPG, JPEG, PNG, GIF, XLS and XLSX files


 

Learn with the Skillcast blog

Best practices, expert opinions, and emerging industry trends — all in one place.

compliance-news-|-july-2025-|-skillcast
Compliance News

Compliance News | July 2025 | Skillcast

15 minute read

This month's key compliance news includes Monzo's fincrime fine, sibling sentences for insider trading, Louis Vuitton's cyberattack and more.

Read more
the-biggest-aml-fines-|-annual-report-|-skillcast
Financial Crime AML and CTF

The Biggest AML Fines | Annual Report | Skillcast

20 minute read

Explore the biggest AML fines of each year from 2020 onwards with our comprehensive report. Updated each year with the most recent anti-money laundering data.

Read more
compliance-news-|-june-2025-|-skillcast
Compliance News

Compliance News | June 2025 | Skillcast

6 minute read

This month's key compliance news includes one of the largest password leaks of all time, financial service's Big Four favouring AI over graduates and more.

Read more