FCA Refresher
for Investment Firms


45 Minutes0.75 CPD 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
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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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