Compliance Courses

This course provides an understanding of the background to the anti bribery practices, its offences, penalties, as well as defences against charges of bribery, and how to identify when an offence has been committed. Ideal for FCA regulated firms, legal firms and accountancy practices.

For Financial Services

For Banking

For Accountancy Firms

For Law Firms

For Trust and Company Services

For Non-Regulated Business

For Educational Institutions

Real Estate Agencies.

The FCA states that a firm must manage conflicts of interest between itself and its customers or other clients. Firms need to take appropriate steps to identify and manage these conflicts. In this course, your employees can effectively learn how to identify potential conflict of interest and differentiate personal versus business interests.

The Market Abuse Regulations cover the important issues of insider dealing, unlawful disclosure of inside information, and market manipulation.  Train your Senior Managers and Conduct Rules Staff to ensure compliance with FCA regulations. This course is ideal for FCA regulated firms.

This course provides an introduction to the Senior Managers and Certification Regime (SMCR) Conduct Rules. Senior managers, Certificated staff and Conduct Rules staff are required to periodically undertake training in order to comply with FCA requirements. Completion of this course will assist firms in meeting their regulatory obligations. 

Cyber threats are real and crucial as they can result in the paralysis of an organisation’s computer system, theft of information such as customers’ bank account details and credit card information, and the loss of other sensitive or important data.  This course enables learners to obtain a good understanding of cybersecurity and the main risks that a firm and individuals should be looking to identify, escalate and manage.

The Consumer Duty is described as the cornerstone in the FCA's strategy of setting higher standards of consumer protection in retail financial markets. It places the onus on firms to proactively assess and evidence the extent to which and how they deliver good consumer outcomes. This course examines the scope, obligations and outcomes of the Consumer Duty.

All organisations in the financial sector need to put the fair treatment of customers at the heart of their business model. This course covers the FCA Principles for Businesses, the meaning of fairness and how to monitor performance to ensure continued fairness. It includes realistic scenarios to illustrate the principles in action.

This course on Client Money and Assets explores how the rules affect employees, the principles it sets for organisations and their clients, and the standards and processes laid out in the Clients Assets Sourcebook. The course is designed to enable learners to understand the regulation around the FCA's Client Assets rules and the key requirements for organisations to arrange for adequate protection of clients' assets.

The course is designed to offer a deeper understanding of associated persons and the importance of due diligence in preventing bribery and the best practice for preventing bribery in this area. The course is focusing on how to prevent bribery and corruption.

In this course you will learn what due diligence checks you need to carry out before taking on a PEP as a client  and what red flags to look out for when it comes to new and existing clients.

The UK's financial sanctions regime restricts access to financial resources and assets for individuals and entities that engage in criminal activities. In this course you'll go behind the scenes to explore some of the misconceptions and poor practices that can lead to breaches of the financial sanctions regime.