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

   Fully automated interactive online solution

 
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Complete the below form to access the SEVEN FREE DEMO COURSES

    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


Complete the below form to access our 9 FREE DEMO COURSES

    Courses interested in*:

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    Accessible

    All courses are accessible on our bespoke web or app platforms immediately upon purchase.

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    Automated

    All courses are delivered through fully-automated, interactive online visual solutions.

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    Affordable

    Courses cost from as little as £20 per Learner per Course, or £6 per Learner on Subscription.

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    Certified

    A certificate is issued on successful completion of all courses for compliance-filing and all UK courses are CPD-certified.

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    Measurable

    All courses include regular ‘Check Your Knowledge’ sections throughout and an end-of-course Quiz.

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    Fast

    Courses take from 30 to 90 minutes to complete and can be viewed and completed in multiple sittings.

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    Purchasing, Onboarding & Volume Discounts

    You can purchase any combination of our broad range of e-Learning courses and onboard multiple users in your Firm, in just four quick and easy online steps:

    1. Select the courses and add them to your Basket
    2. Checkout and purchase your course(s)
    3. Sign In and Register your relevant employees/Users
    4. Allocate all your registered employees/Users to their course(s)

    We’ll help you connect the dots with clear prompts and assistance throughout this quick and easy four-step process, which includes applying automated Volume Discounts depending on the number of courses you purchase, as follows:

    Number of courses Volume Discount
    10 – 24 Courses 2.5% Discount
    25 – 49 Courses 5% Discount
    50 – 99 Courses 7.5% Discount
    100 – 149 Courses 10% Discount
    150 – 199 Courses 12.5% Discount
    200 – 249 Courses 15% Discount
    250 – 299 Courses 17.5% Discount
    >300 Courses 20% Discount

    You will receive an enrolment email for each Course you sign Users up to.

    Once registered and enrolled onto their course(s), your employees/Users will each receive a welcome email inclusive of their login credentials/instructions together with a separate enrolment confirmation for each of their courses.

    All Clients have access to a centralised User Dashboard with Live Reporting on the progress of all your enrolled employees/Users and from where you can download all your employees/Users Course Certificates once they have successfully completed their courses. This is clearly explained in our Power User Guide, downloadable from your Account.

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