Online training courses for the financial services industry

In association with RFA

   CPD-accredited

   Courses take 30 to 60 minutes to complete

  From only £30 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

  • 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


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