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

 
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    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


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