FCA Compliance:
FCA Compliance Refresher for Investment Firms

The price for this course: £40.00 excl. VAT

FCA Compliance:
FCA Compliance Refresher for Investment Firms

The price for this course: £40.00

Course duration 45 mins

CPD points 0.75 points

This course provides a refresher of key FCA compliance concepts that relate both to the individual‘s employer and to the individual in a personal capacity.

The individual is also given guidance on the appropriate course of action to be taken when encountering compliance issues.

This module is suitable for anyone that works for a FCA-regulated Investment Firm, aside from Senior Managers (who should instead take the module ‘Compliance Refresher for Senior Managers at Investment Firms’.

Learning outcomes
On completion of this course, you will:
• Refresh your knowledge about why Financial Services need to be regulated
• Refresh your knowledge of the UK Financial Services regulatory framework
• Refresh your knowledge of how the FCA functions
• Refresh your knowledge of key regulatory themes including: Conduct of business; Conflicts of interest; Senior management arrangements, systems and controls; Resilience; Financial crime; and Conduct and governance
• Refresh your knowledge of how the key regulatory themes effect you personally
• Refresh your knowledge of how a firm implements the regulatory framework
• Achieve 0.75 CPD points

Purchasing, Onboarding & Volume Discounts

You can purchase any combination of our broad range of e-Learning courses and onboard multiple users in your Firm, in just four quick and easy online steps:

1. Select the courses and add them to your Basket
2. Checkout and purchase your course(s)
3. Sign In and Register your relevant employees/Users
4. Allocate all your registered employees/Users to their course(s)

We’ll help you connect the dots with clear prompts and assistance throughout this quick and easy four-step process, which includes applying automated Volume Discounts depending on the number of courses you purchase, as follows:

Number of courses Volume Discount
10 – 24 courses 2.5% discount
25 – 49 courses 5% discount
50 – 99 courses 7.5% discount
100 – 149 courses 10% discount
150 – 199 courses 12.5% discount
200 – 249 courses 15% discount
250 – 299 courses 17.5% discount
>300 courses 20% discount

You will receive an enrolment email for each Course you sign Users up to.

Once registered and enrolled onto their course(s), your employees/Users will each receive a welcome email inclusive of their login credentials/instructions together with a separate enrolment confirmation for each of their courses.

All Clients have access to a centralised User Dashboard with Live Reporting on the progress of all your enrolled employees/Users and from where you can download all your employees/Users Course Certificates once they have successfully completed their courses. This is clearly explained in our Power User Guide, downloadable from your Account.

If you’d prefer support from our team, please click ‘Contact Sales’ on any of our course pages, fill in the form and we will contact you to provide assistance.

Course Outline

The price for this course:

£40.00 excl. VAT

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