On completion of this course, you will:
• Understand what money laundering is and how to prevent it
• Understand what terrorist financing is and how to prevent it
• Understand the AML framework obligations of FCA-regulated investment firms
• Understand customer due diligence and ongoing monitoring
• Understand how to report suspicious behaviour
• Understand your personal liability and the associated risks
• Achieve 1 CPD point
On completion of this course, you will:
• Understand what market abuse is
• Understand the civil regime and associated offenses
• Have a sound understanding of the three types of civil market abuse – insider dealing, unlawful disclosure of inside information and market manipulation
• Have a sound understanding of the UK criminal market abuse framework
• Understand an investment firm’s typical response to market abuse
• Understand the FCAs approach and response to market abuse
• Achieve 1 CPD point
On completion of this course, you will:
• Understand the concepts of bribery and corruption
• Identify the framework in place to manage and mitigate bribery and corruption risks
• Understand how this framework applies to your firm
• Understand how this framework applies to your role and responsibilities
On completion of this course, you will:
• Understand the key concepts of Cyber Security
• Understand the tools used by cyber criminals to access systems
• Have a sound understanding of the different types of cyber crimes
• Understand how to detect and avoid cyber attacks
• Achieve 0.75 CPD points
On completion of this course, you will:
• Understand the key concepts of Cyber Security
• Understand the tools used by cyber criminals to access systems
• Have a sound understanding of the different types of cyber crimes
• Tangibly experience cyber security susceptibility
• Understand how to detect and avoid cyber attacks
• Achieve 1.5 CPD points
On completion of this course, you will:
• Understand the key concepts of Cyber Security
• Understand the tools used by cyber criminals to access systems
• Have a sound understanding of the different types of cyber crimes
• Tangibly experience cyber security susceptibility
• Understand how to detect and avoid cyber attacks
• Understand the UKs Cyber Security legal framework
• Understand risk and personal liability associated with Cyber Security
• Achieve 2 CPD points
On completion of this course, you will:
• Understand the SMCR regime, as it relates to a Limited Scope Firm
• Understand the three key components of SMCR: Senior Managers Regime; Certification Regime; and the Conduct Rules
• Achieve 0.75 CPD points
On completion of this course, you will:
• Understand the SMCR regime as it relates to Senior Managers
• Understand the internal framework and your responsibilities as a Senior Manager
• Have a sound understanding of the Fit and Proper requirements of a Senior Manager
• Understand how Conduct Rules apply to Senior Managers and all other staff
• Understand the SMCR-related FCA notifications that relate to Senior Managers
• Understand how the Certification Regime relates to your subordinate staff
• Achieve 0.75 CPD points
On completion of this course, you will:
• Understand how SMCR applies to a Certified Person
• Have a sound understanding of the Certification Regime and your responsibilities as a Certified Person
• Have a sound understanding of the Fit and Proper requirements of a Certified Person
• Understand how Conduct Rules apply to a Certified Person
• Understand the risks of contravening the SMCR regime as a Certified Person
• Achieve 0.75 CPD points
On completion of this course, you will:
• Understand the aims of SMCR
• Attain a high-level understanding of the three areas of SMCR: Senior Managers Regime, Certification Regime and Conduct Rules
• Have a sound understanding of the Conduct Rules and how they apply to you
• Understand the risks of contravening the Conduct Rules
• Achieve 0.5 CPD points