Online training courses for the financial services industry

In association with RFA

   CPD-accredited

   Courses take 30 and 120 minutes to complete

  From only £24 inc. VAT

   Volume discounts for multiple-course purchases

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    Learning outcomes:

• SMCR courses
  • 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 courses
  • 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

• Anti-Money Laundering course
  • View 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

• Market Abuse course
  • View 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

• Anti-Bribery Training course
  • View 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

• Cyber Security courses
  • 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

  • Advanced 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
    • Understand the UKs Cyber Security legal framework
    • Understand risk and personal liability associated with Cyber Security
    • Achieve 2 CPD points

• SEC Compliance courses
  • 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