Online training courses for the financial services industry

In association with Montague Square

   CPD-accredited

   Course takes 30 and 120 minutes to complete

  Only £30 inc. VAT

   Volume discounts for multiple-course purchases

   Fully automated interactive online solution

Complete the below form to access the SEVEN FREE DEMO COURSES

    Details of courses:

• SMCR courses
  • SMCR Overview course outline

    Introduction
    – A background to the SMCR regime and the content of the training course.

    Senior Managers Regime
    – Statements of Responsibilities
    – The duty of Responsibility
    – Prescribed Responsibilities
    – Sharing Senior Management Functions
    – Sharing Prescribed Responsibilities
    – Overseas Managers
    – The 12-week Rule
    – Non-executive directors
    – Partnerships under the Senior Managers Regime

    Certification Regime
    – Certification functions
    – Performing more than one Certification Function
    – Senior Managers and the Certification Function
    – Significant Management Certification Function
    – Overseas employees

    Fit and Proper requirements
    – Fit & Proper test
    – Evidence requirements
    – Criminal records checks
    – Regulatory references

    Conduct Rules
    – Two tiers of Conduct Rules
    – Activities the Conduct Rules apply to
    – Who the Conduct Rules apply to
    – Training requirements
    – Reporting breaches of the Conduct Rules

    Features
    – Designed by Experts
    – Compatible on multiple devices
    – E-Learning modules available offline
    – Tailor any module to your needs
    – Trackable testing & administrative tools
    – Bespoke implementation on our LMS or yours

  • SMCR for Senior Managers course outline

    The Senior Managers Regime – An Overview
    – Increased accountability
    – Key aspects of SMR
    – Who is defined as a Senior Manager?

    Your Responsibilities as a Senior Manager – the Internal Framework
    – The Statutory Duty of Responsibility
    – Statements of Responsibilities
    – Prescribed Responsibilities for Senior Managers

    Fit and Proper Requirements
    – Honesty, integrity and reputation
    – Competence and capability
    – Financial soundness
    – Background checks and references

    Conduct Rules for Senior Managers

    FCA Notifications
    – Pre-approval
    – Code of Conduct breaches

    Summary of the Certification Regime
    – Overview
    – Certification Functions

    Conduct Rules revisited

    Quiz

    Features
    – Designed by Experts
    – Compatible on multiple devices
    – E-Learning modules available offline
    – Tailor any module to your needs
    – Trackable testing & administrative tools
    – Bespoke implementation on our LMS or yours

  • SMCR for Certified Staff course outline

    Introduction to the SMCR Framework
    – A background to the SMCR regime and the content of the training course.

    How SMCR Applies to a Certified Person

    The Certification Regime – an Introduction
    – What are Certified Functions?
    – Territorial Scope
    – The FCA Directory
    – Issuing Certificates
    – What does Certification involve?

    The Fit and Proper Test
    – Honesty, integrity and reputation
    – Competence and capability
    – Financial soundness
    – Regulatory references

    Conduct Rules

    What are the risks to you?

    What next?

    Quiz

    Features
    – Designed by Experts
    – Compatible on multiple devices
    – E-Learning modules available offline
    – Tailor any module to your needs
    – Trackable testing & administrative tools
    – Bespoke implementation on our LMS or yours

  • SMCR Conduct Rules course outline

    The aims of SMCR

    Three Elements of SMCR
    – Senior Managers Regime
    – Certification Regime
    – Conduct Rules

    Conduct Rules Overview
    – Overview
    – Who must follow the conduct Rules?
    – What is the standard of conduct expected of me?
    – Regulatory references

    The Conduct Rules in detail

    What are the risks to you?
    – Internal disciplinary action
    – FCA breach reporting
    – FCA sanctions
    – What else you should be aware of?

    Quiz

    Features
    – Designed by Experts
    – Compatible on multiple devices
    – E-Learning modules available offline
    – Tailor any module to your needs
    – Trackable testing & administrative tools
    – Bespoke implementation on our LMS or yours

• FCA Compliance courses
  • FCA Compliance Induction for Investment Firms

    Why financial services need to be regulated?
    – Why do we need financial markets?
    – Malfunctioning markets

    The UK Framework
    – The UK and the financial services sector
    – The Financial Conduct Authority (FCA)
    – Check your understanding

    How does the FCA function?
    – Supervision
    – Enforcement
    – Rule making
    – Global aspects
    – Check your understanding

    Key regulatory themes
    – High level principles
    – Culture and governance
    – Conflicts of interest
    – Senior management arrangements, systems and controls (SYSC)
    – Conduct of business
    – Resilience
    – Financial crime
    – Check your understanding

    How does this affect me?
    – Culture and governance revisited
    – Conflicts of interest revisited
    – Financial crime revisited
    – Enforcement case studies
    – Check your understanding
    – Final thought of this section

    How a firm implements the regulatory framework
    – Lines of defence
    – Role of the compliance function
    – Breach reporting
    – Check your understanding

    Quiz

    Conclusion
    – What you have learnt
    – Key points
    – Recap

  • FCA Compliance Refresher for Investment Firms

    Why financial services need to be regulated?
    – Why do we need financial markets?
    – Malfunctioning markets

    The UK Framework
    – The UK and the financial services sector
    – The Financial Conduct Authority (FCA)
    – Check your understanding

    How does the FCA function?
    – Supervision
    – Enforcement
    – Rule making
    – Global aspects
    – Check your understanding

    Key regulatory themes
    – High level principles
    – Culture and governance
    – Conflicts of interest
    – Senior management arrangements, systems and controls (SYSC)
    – Conduct of business
    – Resilience
    – Financial crime
    – Check your understanding

    How does this affect me?
    – Culture and governance revisited
    – Conflicts of interest revisited
    – Financial crime revisited
    – Enforcement case studies
    – Check your understanding
    – Final thought of this section

    How a firm implements the regulatory framework
    – Lines of defence
    – Role of the compliance function
    – Breach reporting
    – Check your understanding

    Quiz

    Conclusion
    – What you have learnt
    – Key points
    – Recap

  • FCA Compliance Induction for Senior Managers at Investment Firms

    Why financial services need to be regulated?
    – Why do we need financial markets?
    – Malfunctioning markets

    The UK Framework
    – The UK and the financial services sector
    – The Financial Conduct Authority (FCA)
    – Check your understanding

    How does the FCA function?
    – Supervision
    – Enforcement
    – Rule making
    – Global aspects
    – Check your understanding

    Key regulatory themes
    – High level principles
    – Culture and governance
    – Conflicts of interest
    – Senior management arrangements, systems and controls (SYSC)
    – Conduct of business
    – Resilience
    – Financial crime
    – Check your understanding

    How does this affect me?
    – Culture and governance revisited
    – Conflicts of interest revisited
    – Financial crime revisited
    – Enforcement case studies
    – Check your understanding
    – Final thought of this section

    How a firm implements the regulatory framework
    – Lines of defence
    – Role of the compliance function
    – Breach reporting
    – Check your understanding

    Quiz

    Conclusion
    – What you have learnt
    – Key points
    – Recap

  • FCA Compliance Refresher for Senior Managers at Investment Firms

    Why financial services need to be regulated?
    – Why do we need financial markets?
    – Malfunctioning markets

    The UK Framework
    – The UK and the financial services sector
    – The Financial Conduct Authority (FCA)
    – Check your understanding

    How does the FCA function?
    – Supervision
    – Enforcement
    – Rule making
    – Global aspects
    – Check your understanding

    Key regulatory themes
    – High level principles
    – Culture and governance
    – Conflicts of interest
    – Senior management arrangements, systems and controls (SYSC)
    – Conduct of business
    – Resilience
    – Financial crime
    – Check your understanding

    How does this affect me?
    – Culture and governance revisited
    – Conflicts of interest revisited
    – Financial crime revisited
    – Enforcement case studies
    – Check your understanding
    – Final thought of this section

    How a firm implements the regulatory framework
    – Lines of defence
    – Role of the compliance function
    – Breach reporting
    – Check your understanding

    Quiz

    Conclusion
    – What you have learnt
    – Key points
    – Recap

• Anti-Money Laundering course
  • Overview

    The Bigger Picture – Financial Crime
    – Gain insights into the effects of financial crime

    What is Money Laundering?
    – Money Laundering
    – What’s the Big Deal?
    – The Crime versus the proceeds of crime
    – How criminals might launder money
    – Using the financial services industry to launder money

    What Is Terrorist Financing?
    – Learn about Terrorist Financing and its effects on the economy

    Prevention
    – The global approach
    – UK criminal offences
    – The Money Laundering Regulations
    – The role of the UK Financial Conduct Authority

    FCA Regulated Firms – high level framework
    – Make certain appointments
    – Conduct Risk Assessments
    – Have policies and procedures in place
    – Books and records
    – When firms get it wrong

    Customer Due Diligence and Ongoing Monitoring
    – Purpose
    – When to apply CDD
    – Conducting CDD
    – The ‘Risk-Based’ approach
    – Issues and pitfalls

    Reporting Suspicious Activity
    – The legal requirement
    – What does ‘Knowledge or Suspicion’ mean in Practice?
    – Reporting to the Nominated Officer
    – What you need to know

    What is my personal liability?
    – My personal liability
    – Managing these risks

    Quiz
    80% Pass Mark

    Conclusion
    – Recap
    – Downloadable Certificate

• Market Abuse course
  • Overview

    Introduction to Financial Crime

    Introduction to Market Abuse
    – Introduction
    – Check your understanding

    The Civil Regime – Introduction to the various offences
    – Various offences
    – What instruments are in scope?
    – Check your understanding

    Insider Dealing
    – What is Insider Dealing?
    – What is inside information?
    – Some examples of inside information
    – What constitutes insider dealing?
    – Being in possession of inside information
    – Check your understanding

    Unlawful Disclosure of Inside Information
    – What is unlawful disclosure of inside information?

    Market Manipulation
    – What is market manipulation?
    – Types of market manipulation
    – Check your understanding

    The UK Criminal Market Abuse Framework
    – Introduction
    – Criminal Insider Dealing
    – Criminal market manipulation
    – Check your understanding

    An Investment Firm’s typical response to Market Abuse
    – Introduction
    – Governance, systems and controls framework and risk assessments
    – Market Abuse Risk Assessment
    – Responding to specific market abuse incidents
    – Check your understanding

    The FCA’s approach to Market Abuse
    – The role
    – Supervision, Prevention and Detection
    – Enforcement and prosecution
    – Communications to firms
    – Personal Conduct
    – Bringing it all together

    Quiz
    – 80% Pass Mark

    Conclusion

    – Recap
    – Downloadable Certificate

• Cyber Security courses
  • Introductory Cyber Security Training for
    UK Financial Institutions (45 mins)

    Introduction to Cyber Security

    Key concepts in Cyber Security

    Gaining access to systems – tools of the trade:

    Malware
    – Virus
    – Key Stroke Loggers
    – Ransomware
    – Trojan Horses
    – Denial-of-services Bots/Botnet Software
    – Backdoors/Backdoor Agents
    – Spyware
    – Adware
    – Phishing Software
    – ATM Malware/Cash Point Malware
    – Hacking
    – Social Engineering

    Types of Cyber Crimes

    Phishing
    – Email Phishing
    – Spear Phishing
    – Business Email Compromise/Whaling Attacks/CEO Fraud
    – Smishing and Vishing
    – Angler Phishing

    Spoofing
    – Account Takeover and Identity Theft
    – Insider Threats
    – Distributed Denial of Services Threats (DDoS)
    – Ransomware Attacks
    – Unauthorised Access and Data Breaches

    Quiz

    80% Pass Mark

    Conclusion

    Recap
    Downloadable certificate
    Key Points

  • Comprehensive Cyber Security Training for
    UK Financial Institutions (90 mins)

    Introduction to Cyber Security

    Key concepts in Cyber Security

    Gaining access to systems – tools of the trade

    Malware
    – Virus
    – Key Stroke Loggers
    – Ransomware
    – Trojan Horses
    – Denial-of-services Bots/Botnet Software
    – Backdoors/Backdoor Agents
    – Spyware
    – Adware
    – Phishing Software
    – ATM Malware/Cash Point Malware
    – Hacking
    – Social Engineering

    Types of Cyber Crimes

    Phishing
    – Email Phishing
    – Spear Phishing
    – Business Email Compromise/Whaling Attacks/CEO Fraud
    – Smishing and Vishing
    – Angler Phishing

    Spoofing
    – Account Takeover and Identity Theft
    – Insider Threats
    – Distributed Denial of Services Threats (DDoS)
    – Ransomware Attacks
    – Unauthorised Access and Data Breaches

    A day in the life of two unsuspecting cybercriminal targets

    Typical scenarios
    Key learnings

    Quiz

    80% Pass Mark

    Conclusion

    Recap
    Downloadable certificate

  • Advanced Cyber Security Training for
    UK Financial Institutions (120 mins)

    Introduction to Cyber Security

    Key concepts in Cyber Security

    Gaining access to systems – tools of the trade

    Malware
    – Virus
    – Key Stroke Loggers
    – Ransomware
    – Trojan Horses
    – Denial-of-services Bots/Botnet Software
    – Backdoors/Backdoor Agents
    – Spyware
    – Adware
    – Phishing Software
    – ATM Malware/Cash Point Malware
    – Hacking
    – Social Engineering

    Types of Cyber Crimes

    Phishing
    – Email Phishing
    – Spear Phishing
    – Business Email Compromise/Whaling Attacks/CEO Fraud
    – Smishing and Vishing
    – Angler Phishing

    Spoofing
    – Account Takeover and Identity Theft
    – Insider Threats
    – Distributed Denial of Services Threats (DDoS)
    – Ransomware Attacks
    – Unauthorised Access and Data Breaches

    A day in the life of two unsuspecting cybercriminal targets

    Typical scenarios
    Key learnings

    Cyber Security and the Law

    Risks and Personal Liability

    Quiz

    80% Pass Mark

    Conclusion

    Recap
    Downloadable certificate

  • Introductory Cyber Security Training for
    US Financial Institutions (45 mins)

    Introduction to Cyber Security

    Key concepts in Cyber Security

    Gaining access to systems – tools of the trade:

    Malware
    – Virus
    – Key Stroke Loggers
    – Ransomware
    – Trojan Horses
    – Denial-of-services Bots/Botnet Software
    – Backdoors/Backdoor Agents
    – Spyware
    – Adware
    – Phishing Software
    – ATM Malware
    – Hacking
    – Social Engineering

    Types of Cyber Crimes

    Phishing
    – Email Phishing
    – Spear Phishing
    – Business Email Compromise/Whaling Attacks/CEO Fraud
    – Smishing and Vishing
    – Angler Phishing

    Spoofing
    – Account Takeover and Identity Theft
    – Insider Threats
    – Distributed Denial of Services Threats (DDoS)
    – Ransomware Attacks
    – Unauthorised Access and Data Breaches

    Quiz

    80% Pass Mark

    Conclusion

    Recap
    Downloadable certificate
    Key Points

  • Comprehensive Cyber Security Training for
    US Financial Institutions (90 mins)

    Introduction to Cyber Security

    Key concepts in Cyber Security

    Gaining access to systems – tools of the trade

    Malware
    – Virus
    – Key Stroke Loggers
    – Ransomware
    – Trojan Horses
    – Denial-of-services Bots/Botnet Software
    – Backdoors/Backdoor Agents
    – Spyware
    – Adware
    – Phishing Software
    – ATM Malware
    – Hacking
    – Social Engineering

    Types of Cyber Crimes

    Phishing
    – Email Phishing
    – Spear Phishing
    – Business Email Compromise/Whaling Attacks/CEO Fraud
    – Smishing and Vishing
    – Angler Phishing

    Spoofing
    – Account Takeover and Identity Theft
    – Insider Threats
    – Distributed Denial of Services Threats (DDoS)
    – Ransomware Attacks
    – Unauthorised Access and Data Breaches

    A day in the life of two unsuspecting cybercriminal targets

    Typical scenarios
    Key learnings

    Quiz

    80% Pass Mark

    Conclusion

    Recap
    Downloadable certificate

  • Advanced Cyber Security Training for
    US Financial Institutions (120 mins)

    Introduction to Cyber Security

    Key concepts in Cyber Security

    Gaining access to systems – tools of the trade

    Malware
    – Virus
    – Key Stroke Loggers
    – Ransomware
    – Trojan Horses
    – Denial-of-services Bots/Botnet Software
    – Backdoors/Backdoor Agents
    – Spyware
    – Adware
    – Phishing Software
    – ATM Malware
    – Hacking
    – Social Engineering

    Types of Cyber Crimes

    Phishing
    – Email Phishing
    – Spear Phishing
    – Business Email Compromise/Whaling Attacks/CEO Fraud
    – Smishing and Vishing
    – Angler Phishing

    Spoofing
    – Account Takeover and Identity Theft
    – Insider Threats
    – Distributed Denial of Services Threats (DDoS)
    – Ransomware Attacks
    – Unauthorised Access and Data Breaches

    A day in the life of two unsuspecting cybercriminal targets

    Typical scenarios
    Key learnings

    Cyber Security and the Law

    Risks and Personal Liability

    Quiz

    80% Pass Mark

    Conclusion

    Recap
    Downloadable certificate

• SEC Compliance courses
  • Induction Training for SEC Registered Investment Advisers

    Introduction
    – Why the firm is registered with the SEC
    – Form ADV
    – Fiduciary Obligations to Clients

    Compliance Framework
    – The Importance of Policies and Procedures
    – Examples of Typical Policies and Procedures
    – The SEC’s Anti-fraud Provisions
    – The Chief Compliance Officer
    – Conflicts of Interest
    – Code of Ethics
    – Check Your Understanding

    Providing Advisory & Investment
    – Suitability
    – Best Execution
    – Aggregation & Allocation
    – Cross Trades
    – Proxy Voting
    – Custody
    – Additional Controls
    – Check Your Understanding

    Marketing & Advertising- Suitability
    – What is Advertising
    – Restrictions

    Disclosures to Clients & Investors
    – Brochure Rule
    – Form CRS
    – Client Agreements
    – Paying Others to Solicit New Clients
    – Privacy
    – Check Your Understanding

    Reporting to the SEC
    – Form ADV
    – Annual Updating Amendment
    – Other than Annual Amendments
    – Form PF
    – Form CRS
    – Financial and Disciplinary Information

    Financial Crime
    – Insider Trading
    – Material Non-public Information
    – Market Manipulation
    – Money Laundering
    – AML Red Flags
    – Bribery

    SEC Supervision
    – How the SEC Supervises the Industry
    – Managing Communications with the SEC
    – SEC Examinations
    – Concluding a SEC Examination
    – Enforcement
    – Common Issues in Enforcement Actions

    Quiz
    – 80% Pass Mark

    Conclusion
    – Key Points

  • Refresher Training for SEC Registered Investment Advisers

    Introduction
    – Why the firm is registered with the SEC
    – Form ADV
    – Fiduciary Obligations to Clients

    Compliance Framework
    – The Importance of Policies and Procedures
    – Examples of Typical Policies and Procedures
    – The SEC’s Anti-fraud Provisions
    – The Chief Compliance Officer
    – Conflicts of Interest
    – Code of Ethics
    – Check Your Understanding

    Providing Advisory & Investment Services to our Clients
    – Suitability
    – Best Execution
    – Aggregation & Allocation
    – Cross Trades
    – Proxy Voting
    – Custody
    – Additional Controls
    – Check Your Understanding

    Marketing & Advertising
    – What is Advertising
    – Restrictions

    Disclosures to Clients & Investors
    – Brochure Rule
    – Form CRS
    – Client Agreements
    – Paying Others to Solicit New Clients
    – Privacy
    – Check Your Understanding

    Reporting to the SEC
    – Form ADV
    – Annual Updating Amendment
    – Other than Annual Amendments
    – Form PF
    – Form CRS
    – Financial and Disciplinary Information

    Financial Crime
    – Insider Trading
    – Material Non-public Information
    – Market Manipulation
    – Money Laundering
    – AML Red Flags
    – Bribery

    SEC Supervision
    – How the SEC Supervises the Industry
    – Managing Communications with the SEC
    – SEC Examinations
    – Concluding a SEC Examination
    – Enforcement
    – Common Issues in Enforcement Actions

    Quiz
    – 80% Pass Mark

    Conclusion
    – Key Points

  • Compliance Issues from SEC Examinations

    Introduction
    – Private Fund Advisers
    – Common Deficiencies & Compliance Issues

    Conflicts of Interest
    – Adviser obligations

    Fees and Expenses
    – Understanding the SEC’s Concerns with Fees and Expenses
    – Allocation of Fees and Expenses
    – Operating Partners
    – Valuation
    – Monitoring Fees and Expenses

    Material Non-public Information
    – Supervision of the markets
    – SEC Requirements
    – Code of Ethics Rule

    Enforcement Actions relating to Exam Findings
    – What do OCIE’s observations mean?
    – Tangible Case Studies
    – Key Takeaways

    Quiz
    – 80% Pass Mark

    Conclusion
    – Key Points
    – Downloadable Certificate