FCA Refresher for Senior Managers at Investment Firms


45 Minutes0.75 CPD Points
This course provides a refresher of key FCA compliance concepts that relate to both the individual’s employer and to the individual as a Senior Manager.

The individual is also given guidance on managing compliance risk, and appropriate courses of action to be taken when encountering compliance issues.

This module is suitable for anyone that works for a FCA-regulated Investment Firm, and is classified as a Senior Manager per the Senior Managers and Certification Regime.

Learning outcomes
On completion of this course, you will:
• Refresh your knowledge of the importance of Regulation
• Refresh your knowledge of the UK Financial Services regulatory framework specific to Senior Managers
• Refresh your knowledge of how the FCA functions
• Refresh your knowledge of the FCA Principles and their linkage to Rules
• Refresh your knowledge of Culture and Governance specific to Senior Managers
• Refresh your knowledge of Conflicts of Interest specific to Senior Managers
• Refresh your knowledge of SYSC (Senior Management Arrangements, Systems and Controls Sourcebook)
• Refresh your knowledge of Conduct of Business and Resilience
• Refresh your knowledge of the financial crime framework and personal liability as a Senior Manager
• Refresh your knowledge of how a firm implements the regulatory framework
• Achieve 0.75 CPD points
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Course Benefits

  • Accessible: All courses are accessible on our bespoke web or app platforms immediately upon purchase.
  • Automated: All courses are delivered through fully-automated, interactive online visual solutions.
  • Affordable: Courses cost from as little as £20 per Learner per Course, or £6 per Learner on Subscription.
  • Fast: Courses take from 30 to 90 minutes to complete and can be viewed and completed in multiple sittings.
  • Measurable: All courses include regular ‘Check Your Knowledge’ sections throughout and an end-of-course Quiz.
  • Certified: A certificate is issued on successful completion of all courses for compliance-filing and all UK courses are CPD-certified.
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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.

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