Become Compliant with FCA Essentials

From Anti-Bribery to Vulnerable Persons, our comprehensive library of eLearning courses will help you train your staff on Financial Conduct Authority regulations with engaging, up-to-date, relevant and effective content, written by industry experts.

There are currently 20 courses to choose from, suitable for all financial service sectors including banking, investments and mortgages as well as businesses requiring topics, such as complaint handling and treating customers fairly.

Our FCA courses will ensure your business stays compliant because having fully trained employees is the most effective way to protect your company and its assets. View our courses below, or download our course brochure.

Looking for customised versions of our compliance courses? All our FCA training can be tailored to your company branding and specific requirements.

Browse our courses

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

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

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.
FCA Reg Environment Front Page

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.
Complaint Handling Front page
Financial Promotions Front Page

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.
Vulnerable Persons Front Page
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.
ICOBS
Dealing and Managing Front Page

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.
Basic insurance Front Page
Assisting Claims Front Page

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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