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SMCR Overview course outline

• 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

SMCR for Senior Managers course outline

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

SMCR for Certified Staff course outline

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

SMCR Conduct Rules course outline

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

FCA Compliance Induction for Investment Firms

On completion of this course, you will:

• Understand why Financial Services need to be regulated
• Understand the UK Financial Services regulatory framework
• Understand how the FCA functions
• Have a sound understanding of key regulatory themes including: Conduct of business; Conflicts of interest; Senior management arrangements, systems and controls; Resilience; Financial crime; and Conduct and governance
• Understand how the key regulatory themes effect you personally
• Understand how a firm implements the regulatory framework
• Achieve 0.75 CPD points

FCA Compliance Refresher for Investment Firms

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

FCA Compliance Induction for Senior Managers at Investment Firms

On completion of this course, you will:

• Understand the relationship between Financial Services and Regulation
• Understand the UK Financial Services regulatory framework specific to Senior Managers
• Understand how the FCA functions
• Have a sound understanding of the FCA Principles and their linkage to Rules
• Have a sound understanding of Culture and Governance specific to Senior Managers
• Have a sound understanding of Conflicts of Interest specific to Senior Managers
• Have a sound understanding of SYSC (Senior Management Arrangements, Systems and Controls Sourcebook)
• Have a sound understanding of Conduct of Business and Resilience
• Understand the financial crime framework and personal liability as a Senior Manager
• Understand how a firm implements the regulatory framework
• Achieve 0.75 CPD points

FCA Compliance Refresher for Senior Managers at Investment Firms

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

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

Introductory Cyber Security Training for UK Financial Institutions

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

Comprehensive Cyber Security Training for UK Financial Institutions

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

Comprehensive Cyber Security Training for UK Financial Institutions

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

Induction Training for SEC Registered Investment Advisers

On completion of this course, you will:

• Understand why firms are registered with the SEC,
• Appreciate the importance of the firm’s Form ADV as a key public disclosure document
• Refresh your knowledge on the adviser’s fiduciary responsibility to clients
• Have a sound understanding of the Compliance Framework when providing advisory investment services to your clients
• Understand advertising rules and restrictions
• Understand required disclosures to clients and investors
• Understand reporting requirement to the SEC, including all relevant forms
• Understand insider dealing and financial crime framework
• Have a sound understanding of the SEC supervises firms

Refresher Training for SEC Registered Investment Advisers

On completion of this course, you will:

• Understand why firms are registered with the SEC,
• Appreciate the importance of the firm’s Form ADV as a key public disclosure document
• Refresh your knowledge on the adviser’s fiduciary responsibility to clients
• Have a sound understanding of the Compliance Framework when providing advisory investment services to your clients
• Understand advertising rules and restrictions
• Understand required disclosures to clients and investors
• Understand reporting requirement to the SEC, including all relevant forms
• Understand insider dealing and financial crime framework
• Have a sound understanding of the SEC supervises firms

Compliance Issues from SEC Examinations

On completion of this course, you will:

• Understand common deficiencies and compliance issues
• Understand adviser obligations in conflicts of interest
• Understand the SECs concerns with fees and expenses
• Understand the SECs requirement relating to material non-public information
• Understand the enforcement action resulting from the SEC Examination