Become Compliant with FCA Essentials

Anti-bribery and Corruption

This course will help you to:

  • Describe how the Bribery Act 2010 affects regulated firms.
  • Identify the risks faced by firms in respect of bribery and corruption.
  • Apply this knowledge to your own working practices.
  • Approx 40 minutes

Anti-money Laundering

This course will help you to:

  • Understand what Money Laundering is, how it is perpetrated and what can be done to counter it.
  • Understand what constitutes Terrorist Financing and where it can differ from Money Laundering.
  • Be aware of the requirements of the key acts, legislation and regulations that apply and your responsibilities.
  • Understand your responsibilities in relation to collecting and recording customer data.
  • Understand what a suspicious transaction is, what indicators might raise suspicions and how to report your suspicions.
  • Provide a definition of a Politically Exposed Person (PEP).
  • Approx 60 minutes.

Introduction to GDPR

This course will help you to:

  • The key concepts and principles of the General Data Protection Regulation (GDPR)
  • The rights that individuals have under GDPR
  • What might happen when things go wrong
  • Approx 30 minutes

 

Complying with GDPR

This course will help you to:

  • The key obligations and requirements placed by GDPR on your organisation and any third parties you work with
  • Processes and procedures, you need to have implemented in order to comply with GDPR
  • Approx 30 minutes
SMCR

Senior Managers Certification Regime

This course will help you to:

  • Understand who SMCR applies to
  • Understand your personal responsibilities
  • Describe how the scheme works in practice
  • Understand your firm’s obligations under the Regime
  • Approx 30 minutes

Fraud Awareness

This course will:

  • Give you a background to and understanding of applicable fraud regulations
  • Help you understand the typical risks that firms face and the prevalence of fraud
  • Help you apply these concepts to your work through the use of case studies
  • Approx 50 minutes
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Market Abuse

This course will help you to understand:

  • The purpose of the Market Abuse regime
  • What the different types of Market Abuse offences are
  • What your firm needs to do in order to comply with the regulations
  • The penalties for committing an offence
  • Approx 30 minutes

Conflict of Interest

This course will help you to:

  • Understand why conflicts of interest matter.
  • Describe different types of conflicts.
  • Understand the main FCA requirements for conflicts of interest policies.
  • Know how to identify, prevent, or manage conflicts of interest.
  • Approx 35 minutes.
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FCA Regulatory Environment

This course will help you to:

  • Understand the FCA are and what it does
  • Describe how firms and the FCA communicate with each other
  • Describe what information is held on firms
  • Understand how to find the rules that affect your firm
  • Understand how the FCA expects firms to be compliant
  • Approx 30 minutes

Complaint Handling

This course will help you to:

  • Correctly apply the requirements for dispute resolution within your firm.
  • Understand the differences in procedures between MiFID and non-MiFID business.
  • Appreciate how complaint handling links with Treating Customers Fairly (TCF).
  • Handle complaints correctly within the context of the Financial Ombudsman Service (FOS).
  • Approx 30 minutes.
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Financial Promotions

This course will help you to:

  • Define what is meant by a financial promotion
  • Identify when you need to be aware of the rules relating to financial promotions
  • Apply the rules to your own job on a day-to-day basis
  • Approx 45 minutes

Vulnerable Persons

This course will help you to:

  • Understand how to identify a potentially vulnerable customer
  • Understand what steps you and your firm can take to help vulnerable customers
  • Approx 45 minutes.
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Treating Customers Fairly Front Page

Treating Customers Fairly

This course will help you to:

  • Understand the implications of the FCA principle of 'treating customers fairly'
  • Understand why it is so important to your firm
  • Understand how your role helps your firm to do this
  • Approx 45 minutes.

Managing TCF

This course will help you to:

  • Understand the implications of the FCA principle of 'treating customers fairly'
  • Understand why it is so important to your firm
  • Describe the different ways in which your firm can evidence it is treating customers fairly
  • Understand how your role helps your firm to do this
  • Approx 45 minutes.
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Know your customer Front Page

Know Your Customer

This course will help you to:

  • Understand the implications of the FCA principle of 'knowing your customer'
  • Understand why it is so important to your firm
  • Describe the different ways in which your firm can evidence it is treating customers fairly
  • Understand how your role helps your firm to do this
  • Approx 45 minutes.

ICOBS

This course will help you to:

  • Understand the most important features of the ICOBS
  • Understand how these features apply to your role and the role of others in the industry
  • Approx 30 minutes.
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Dealing and Managing

This course will help you to:

  • Define the terms dealing and managing, and identify when you need to be aware of related rules
  • Explain the main rules relating to dealing and managing
  • Apply those rules to your own job
  • Approx 45 minutes.

Basic Insurance Principles

This course will help you to:

  • Understand the participants in the insurance market
  • Understand insurance risk and how it is assessed
  • Describe the categories of insurance
  • Describe the principles of insurance
  • Approx 30 minutes.
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Assisting Customers with Claims

This course will help you to:

  • Understand how important the insurance market is in the UK
  • Describe which claims activities are regulated by the FCA and why
  • List the procedures that must be followed to make sure that insurance claims are processed in line with the FCA's regulations
  • Approx 30 minutes.

Approved Persons

This course will help you to:

  • Know and meet regulatory requirements
  • Understand how to apply regulatory requirements within a firm
  • Define ‘controlled functions’
  • Approx 45 minutes
Approved Persons

Some of our FCA Essentials Customers

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Get in touch to talk about choosing the right courses for your business.