e-Learning

SMCR for Senior Managers (Core Firms)

This course details the requirements of SMCR as it applies to Senior Managers, including the Senior Managers Regime, the Certification Regime and the Conduct Rules. It will give any Senior Manager the tools they need to understand their obligations and personal liability.

Learning outcomes
On completion of this course, you will:
• Have a sound understanding of 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

In addition to Senior Managers this course is also suitable for:
• Individuals reporting to Senior Managers
• Project managers and administrators

This course can be applied as both an ‘introductory’ course and a ‘refresher’ course.

SMCR Conduct Rules (Core Firms)

This course provides a focussed overview of the Individual Conduct Rules for which annual training is required, for individuals working at Core Firms who are subject to SMCR, but are neither Senior Managers nor subject to the Certification Regime.

Learning outcomes
On completion of this course, you will:
• Understand the aim 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

This course can be applied as both an ‘introductory’ course and a ‘refresher’ course.

Anti-Money Laundering for UK Investment Firms

This course provides a sound knowledge and awareness of money laundering and terrorist financing.

Learning outcomes
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

This course is suitable for anyone that works at a FCA-regulated Investment Firm. It can be used as both an induction course for new staff members, and a refresher course for existing staff members.

Market Abuse for UK Investment Firms

This course provides a sound knowledge and awareness of money laundering and terrorist financing, how to avoid their pitfalls and the consequences of transgression.

Learning outcomes
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

This course is suitable for anyone that works for a FCA-regulated Investment Firm. It can be used as both an induction course, for example for new staff members, and a refresher course.

Introductory Cyber Security for UK Financial Institutions

This 45-minute course is suitable for Senior Executives, Non-Executive Directors and broader staff requiring an overview of Cyber Security terminology and good preventative practices to apply in order to avoid the substantive risks associated with Cyber Security breaches in both your personal and your professional environments.

Learning outcomes
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

This course is suitable for anyone working in the UK Financial Services Industry requiring an all-encompassing understanding of Cyber Security.

Comprehensive Cyber Security for UK Financial Institutions

More time-efficient than classroom learning and able to be completed in multiple-sittings, this 90-minute course is suitable as introductory or refresher training for all employees. It will provide you with comprehensive knowledge of Cyber Security terminology and good preventative practices to apply in order to avoid the substantive risks associated with Cyber Security breaches in both your personal and your professional environments, including tangible examples of how these risk can play out, and their potentially devastating effects.

Learning outcomes
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

This course is suitable for anyone working in the UK Financial Services Industry requiring an all-encompassing understanding of Cyber Security.

Anti-Money Laundering for UK Investment Firms

This course provides a sound knowledge and awareness of money laundering and terrorist financing.

Learning outcomes
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

This course is suitable for anyone that works at a FCA-regulated Investment Firm. It can be used as both an induction course for new staff members, and a refresher course for existing staff members.

Market Abuse for UK Investment Firms

This course provides a sound knowledge and awareness of money laundering and terrorist financing, how to avoid their pitfalls and the consequences of transgression.

Learning outcomes
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

This course is suitable for anyone that works for a FCA-regulated Investment Firm. It can be used as both an induction course, for example for new staff members, and a refresher course.

Anti-Bribery for UK Investment Firms

This course is for staff members at an FCA-regulated investment firm and aims to provide you with a sound understanding of bribery and corruption, and steps taken to combat this.

Learning outcomes
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

SMCR Overview (Core Firms)

This course is designed to provide a summary of the SMCR requirements as they apply to a ‘Core Firm’. It reviews the key concepts with a view to ensuring that your firm has a sound understanding of SMCR.

This course is suitable for anyone that is seeking to enhance their understanding of how SMCR applies from the firm’s perspective, including:
• Senior Managers
• Project managers and administrators
• Individuals performing a compliance, risk or audit function
• Human resources professionals

Learning outcomes
On completion of this course, you will:
• Have a sound understanding of the SMCR regime, as it relates to a Core Firm
• Understand the three key components of SMCR: Senior Managers Regime; Certification Regime; and the Conduct Rules
• Achieve 0.75 CPD points

This course can be applied as both an ‘introductory’ course and a ‘refresher’ course.

SMCR for Senior Managers (Core Firms)

This course details the requirements of SMCR as it applies to Senior Managers, including the Senior Managers Regime, the Certification Regime and the Conduct Rules. It will give any Senior Manager the tools they need to understand their obligations and personal liability.

Learning outcomes
On completion of this course, you will:
• Have a sound understanding of 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

In addition to Senior Managers this course is also suitable for:
• Individuals reporting to Senior Managers
• Project managers and administrators

This course can be applied as both an ‘introductory’ course and a ‘refresher’ course.

SMCR for Certified Staff (Core Firms)

This course sets out the aspects of SMCR that are applicable to individuals undertaking Certification Functions, including the Certification Regime and the Conduct Rules. This course is suitable for:
• Individuals undertaking Certification Functions
• Senior Managers who supervise Certified Employees
• Project managers and administrators

Learning outcomes
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

This course can be applied as both an ‘introductory’ course and a ‘refresher’ course.

SMCR Conduct Rules (Core Firms)

This course provides a focussed overview of the Individual Conduct Rules for which annual training is required, for individuals working at Core Firms who are subject to SMCR, but are neither Senior Managers nor subject to the Certification Regime.

Learning outcomes
On completion of this course, you will:
• Understand the aim 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

This course can be applied as both an ‘introductory’ course and a ‘refresher’ course.

SMCR Overview (Enhanced Firms)

This course is designed to provide a summary of the SMCR requirements as they apply to an ‘Enhanced Firm’. It reviews the key concepts with a view to ensuring that your firm has a sound understanding of SMCR.

This course is suitable for anyone that is seeking to enhance their understanding of how SMCR applies from the firm’s perspective, including:
• Senior Managers
• Project managers and administrators
• Individuals performing a compliance, risk or audit function
• Human resources professionals

Learning outcomes
On completion of this course, you will:
• Have a sound understanding of the SMCR regime, as it relates to an Enhanced Firm
• Understand the three key components of SMCR: Senior Managers Regime; Certification Regime; and the Conduct Rules
• Achieve 0.75 CPD points

This course can be applied as both an ‘introductory’ course and a ‘refresher’ course.

SMCR for Senior Managers (Enhanced Firms)

This course details the requirements of SMCR as it applies to Senior Managers, including the Senior Managers Regime, the Certification Regime and the Conduct Rules. It will give any Senior Manager the tools they need to understand their obligations and personal liability.

Learning outcomes
On completion of this course, you will:
• Have a sound understanding of 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

In addition to Senior Managers this course is suitable for:
• Individuals reporting to Senior Managers
• Project managers and administrators

This course can be applied as both an ‘introductory’ course and a ‘refresher’ course.

SMCR For Certified Staff (Enhanced Firms)

This course sets out the aspects of SMCR that are applicable to individuals undertaking Certification Functions, including the Certification Regime and the Conduct Rule. This course is suitable for:
• Individuals undertaking Certification Functions
• Senior Managers who supervise Certified Employees
• Project managers and administrators

Learning outcomes
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

This course can be applied as both an ‘introductory’ course and a ‘refresher’ course.

SMCR Conduct Rules (Enhanced Firms)

This course provides a focussed overview of the Individual Conduct Rules for which annual training is required, for individuals working at Enhanced Firms who are subject to SMCR, but are neither Senior Managers nor subject to the Certification Regime.

Learning outcomes
On completion of this course, you will:
• Understand the aim 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

This course can be applied as both an ‘introductory’ course and a ‘refresher’ course.

SMCR Overview (Limited Scope Firms)

This course is designed to provide a summary of the SMCR requirements for as they apply to a ‘Limited Scope Firm’. It reviews the key concepts with a view to ensuring that your firm has a sound understanding of SMCR.

Learning outcomes
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


This course can be applied as both an ‘introductory’ course and a ‘refresher’ course.

SMCR For Senior Managers (Limited Scope Firms)

This course details the requirements of SMCR as it applies to Senior Managers, including the Senior Managers Regime, the Certification Regime and the Conduct Rules. It will give any Senior Manager the tools they need to understand their obligations and personal liability.

Learning outcomes
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

In addition to Senior Managers this course is also suitable for:
• Individuals reporting to Senior Managers
• Project managers and administrators

This course can be applied as both an ‘introductory’ course and a ‘refresher’ course.

SMCR for Certified Staff (Limited Scope Firms)

This course sets out the aspects of SMCR that are applicable to individuals undertaking Certification Functions, including the Certification Regime and the Conduct Rules. This course is suitable for:
• Individuals undertaking Certification Functions
• Senior Managers who supervise Certified Employees
• Project managers and administrators

Learning outcomes
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

This course can be applied as both an ‘introductory’ course and a ‘refresher’ course.

SMCR Conduct Rules (Limited Scope Firms)

This course provides a focussed overview of the Individual Conduct Rules for which annual training is required, for individuals working at Limited Scope Firms who are subject to SMCR, but are neither Senior Managers nor subject to the Certification Regime.

Learning outcomes
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

This course can be applied as both an ‘introductory’ course and a ‘refresher’ course.

FCA Induction for Investment Firms

This course provides a sound knowledge and awareness of key FCA compliance concepts that relate to both 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 starts working for a FCA-regulated Investment Firm, aside from Senior Managers (who should instead take the module ‘Compliance Induction for Senior Managers at Investment Firms’).

Learning outcomes
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 Induction for Senior Managers at Investment Firms

This course provides a sound knowledge and awareness of key FCA compliance concepts that relate to both the individual’s employer and to the individual as a Senior Manager.

The individual is also given guidance on managing compliance risk, and appropriate courses of action to be taken when encountering compliance issues.

This module is suitable for anyone that starts working in a Senior Manager capacity as classified per the Senior Managers and Certification Regime at a FCA-regulated Investment Firm

Learning outcomes
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 Refresher for Investment Firms

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

FCA Refresher for Senior Managers at Investment Firms

This course provides a refresher of key FCA compliance concepts that relate to both the individual’s employer and to the individual as a Senior Manager.

The individual is also given guidance on managing compliance risk, and appropriate courses of action to be taken when encountering compliance issues.

This module is suitable for anyone that works for a FCA-regulated Investment Firm, and is classified as a Senior Manager per the Senior Managers and Certification Regime.

Learning outcomes
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

Introductory Cyber Security for UK Financial Institutions

This 45-minute course is suitable for Senior Executives, Non-Executive Directors and broader staff requiring an overview of Cyber Security terminology and good preventative practices to apply in order to avoid the substantive risks associated with Cyber Security breaches in both your personal and your professional environments.

Learning outcomes
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

This course is suitable for anyone working in the UK Financial Services Industry requiring an all-encompassing understanding of Cyber Security.

Comprehensive Cyber Security for UK Financial Institutions

More time-efficient than classroom learning and able to be completed in multiple-sittings, this 90-minute course is suitable as introductory or refresher training for all employees. It will provide you with comprehensive knowledge of Cyber Security terminology and good preventative practices to apply in order to avoid the substantive risks associated with Cyber Security breaches in both your personal and your professional environments, including tangible examples of how these risk can play out, and their potentially devastating effects.

Learning outcomes
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

This course is suitable for anyone working in the UK Financial Services Industry requiring an all-encompassing understanding of Cyber Security.

Introductory Cyber Security for US Financial Institutions

This 45-minute course is suitable for Senior Executives, Non-Executive Directors and broader staff requiring an overview of Cyber Security terminology and good preventative practices to apply in order to avoid the substantive risks associated with Cyber Security breaches in both your personal and your professional environments.

Learning outcomes
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

This course is suitable for anyone working in the US Financial Services Industry needing to master the basics of Cyber Security.

Comprehensive Cyber Security for US Financial Institutions

More time-efficient than classroom learning and able to be completed in multiple-sittings, this 90-minute course is suitable as introductory or refresher training for all employees. It will provide you with comprehensive knowledge of Cyber Security terminology and good preventative practices to apply in order to avoid the substantive risks associated with Cyber Security breaches in both your personal and your professional environments, including tangible examples of how these risk can play out, and their potentially devastating effects.

Learning outcomes
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

This course is suitable for anyone working in the US Financial Services Industry requiring an all-encompassing understanding of Cyber Security.

Introductory Cyber Security Training for All Industries

This 45-minute course is suitable for Senior Executives, Non-Executive Directors and broader staff requiring an overview of Cyber Security terminology and good preventative practices to apply in order to avoid the substantive risks associated with Cyber Security breaches in both your personal and your professional environments, and is broadly relevant to all industries.

Learning outcomes
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

This course is globally relevant and suitable for all levels of staff across all industries requiring an all-encompassing understanding of Cyber Security.