Consultancy and Ready to Go E-Learning
"Making Compliance Simple"
Compliance E-Learning
Firms regulated by the Financial Conduct Authority (FCA) must ensure their staff are appropriately trained to understand both their role and the compliance requirements impacting the firm. Not only is this a requirement in the FCA Handbook, its essential to reduce the risk of non-compliance.
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We have created a training gap-analysis to help you understand your training needs and to identify any gaps: download for free here.​​​​
FCA compliance training, whether in the e-learning format or delivery style, must go beyond simply citing rules and instead explain the intention behind regulatory initiatives, benefit to customers and include examples which help learners to understand both the rule and meaning behind it. Equally the commercial benefit of complying should be highlighted as another way to develop buy-in from learners. Compliance training must also be up to date with regulatory changes, fun and correct.
As the compliance experts in topics such as the Consumer Duty, Consumer Credit and Vulnerability, we’re uniquely placed to deliver this for you.​​​
The Content & Benefits
FCA Compliance e-learning, such as our Consumer Duty e-learning, must be engaging. As compliance is naturally a heavy topic, it’s very important that courses are interesting and easy to digest. Our courses use a range of engagement methods, including:
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Setting the course around a single situation, enabling a story to be told throughout
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A mix of learning methods including videos, slides, quizzes, infographics and scenarios
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We use interactive scenarios to allow a practical application of the learning
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Final exam to test understanding
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Completion in roughly 30 minutes
Contact us alongside your order to access the additional benefits
When you add 10 or more learners to our courses you also get:
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Access to a free business template: pick any from our Template Page
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Follow-up quiz for each staff member, developed bespoke for your company and rolled out at a timing of your choice
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20% off your next purchase
Benefits Include:
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Access anywhere including on mobile devices
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No hosting required
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Request bespoke course design
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Bulk sign-up assistance
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Test at end to ensure learning
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Certificate of learning provided
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Track completion
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MI reporting
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FCA INTRODUCTION
Those working in financial services need to understand the conduct regulator, the Financial Conduct Authority (FCA). This course helps them with just that, detailing the events which led to the creation of the regulator, their powers and explaining the methods they use to regulate financial services. Throughout the interactive course practical examples are used to help place the learning point into the learner’s working environment. The learner will also learn about the importance of the FCA handbook, Conduct Rules and Consumer Duty. This course covers: 1. Brief history of financial services regulation 2. Who the FCA is and its role 3. How scandals have shaped the regulator 4. The remit and scope of the FCA’s activities 5. FCA’s approach to supervision 6. The types of enforcement by the FCA Course completion: 30 minutes
£30+VAT Per Learner
FINANCIAL DIFFICULTIES
This course covers: 1. Defining financial difficulties 2. An overview of the main FCA rules and requirements 3. How to identify customers in financial difficulties 4. How to support customers in financial difficulties through an immersive scenario 5. The importance of soft skills in supporting customers in financial difficulties Course completion: 45 minutes
£30+VAT Per Learner
THE CONSUMER DUTY
The duty is a ‘step-change’ in regulatory compliance. As such it has transformed the way in which firm’s and staff work with customers. Our course prepares your team, explaining the reasons the duty has been created and what they need to do to comply. It’s ideal for managers checking they have implemented the standards correctly or for more junior staff to give them an understanding of what’s required. The creator of this course is a published author, with law textbooks on the Consumer Duty. This course is designed for staff subject to the FCA's Consumer Duty. This course covers: 1. An overview of the consumer duty 2. Customer objectives and how to support them 3. Understanding the target market and supporting their needs 4. Good practice in communication 5.Good practice in customer support Course completion: 30 minutes
£30+VAT Per Learner
CREDIT LENDING
This course covers: 1. The financial crash and the development of modern lending practices 2. An overview of credit advertising and promoting of credit 3. Data protection and the lending process 4. Pre-contract information requirements 5. Affordability in practice Course completion: 35 minutes
£30+VAT Per Learner
AML & FINANCAL CRIME
This course covers: 1. What financial crime is 2. Types of financial crime 3. What money laundering is 4. An overview of money laundering regulations 5. The role of staff and businesses 6. An overview of the Proceeds of Crime Act, Fraud Act and JMLSG 7. Establishing identity – personal and business customers. Course completion: 60 minutes
£30+VAT Per Learner
CONC 8 DEBT ADVICE
This course covers: 1. The overarching principles of debt advice 2. Pre-contract information and advice requirements 3. Debt solution contracts 4. An overview of financial statements and debt repayment offers 5. Changes to contractual payments 6. Charging for services 7. Debt management plans 8. Rules for lead generators 9. Providing credit information services Course completion: 45 minutes
£30+VAT Per Learner
DATA PROTECTION REGULATION (SENIOR)
How to understand DPR (Senior). This course covers: 1. The UK GDPR Framework 2. Data protection principles 3. Data mapping 4. An explanation of the basis for processing 5. Data rights – what they are and how to meet them 6. Security and access to data 7. Data retention 8. Records and DPIA Course completion: 45 minutes
£30+VAT Per Learner
CONDUCT RULES
(ALL STAFF)
Since the introduction of the Senior Managers and Certification Regime (SM&CR) it has been a requirement to train staff members on the conduct rules. The rules are designed to set basic standards of behaviour in firms, our course explains the role these rules play in the regulatory environment and their importance before providing interactive examples to enable the learner to properly understand each rule and how it applies to them. There are two tiers of conduct rules, the first applies to all staff and the second applies to senior managers. This course is designed for all staff subject to the first tier of the conduct rules, including those in the certification regime. This course covers: 1. An introduction to the conduct rules 2. An overview of SM&CR 3. The individual conduct rules in theory and in practice 4. An overview of the conduct rules and the consumer duty Course completion: 30 minutes
£30+VAT Per Learner
DATA PROTECTION REGULATION (ALL STAFF)
Understanding the fundamentals of data protection are as important as ever. Recent data breaches and subsequent action from the Information Commissioner’s Office demonstrate the importance of good data protection practices. This includes ensuring an understanding of the requirements throughout the organisation. This course covers: 1. An overview of Data Protection law and key requirements 2. How to process personal data and special category data 3. Data breaches – what they are and how to act 4. Individual rights Course completion: 30 minutes
£30+VAT Per Learner
COMPLAINTS
HANDLING
FCA compliance comes with several requirements, one is to be able to handle complaints in accordance with DISP. This course helps staff of all levels identify a complaint, understand what to record and how to respond in accordance with DISP. However, we don’t stop there, this course also covers the soft skills needed to manage the difficult interactions with complainants. This course is designed for staff who deal with complaints from customers of FCA regulated products in the course of their work. This course covers: 1. Identifying a regulated complaint 2. The importance of good complaints handling 3. DISP rules 4. Full complaint handling process 5. Financial Ombudsman Service (FOS) and its role 6. FCA complaint reporting 7. Soft skills needed to respond effectively through an immersive scenario. Course completion: 40 minutes
£30+VAT Per Learner
CONDUCT RULES
(SENIOR MANAGERS)
Since the introduction of the Senior Managers and Certification Regime (SM&CR) it has been a requirement to train staff members on the conduct rules, including senior managers. There are two tiers of conduct rules, the first applies to all staff and the second applies to senior managers. This course is designed for senior managers, covering both tiers of the rules with detailed explanations of the FCA’s expectations. This course also highlights the steps senior managers can take to comply with the duty of responsibility and therefore protect themselves against regulatory action. This course covers: 1. An overview of the SM&CR 2. The individual conduct rules and what they mean in senior roles 3. How to meet the senior manager conduct rules 4. An overview of compliance, reporting and enforcement rules 5. How the conduct rules and the consumer duty interact Course completion: 40 minutes
£30+VAT Per Learner
FAIR TREATMENT OF VULNERABLE CUSTOMERS
With expectations growing since the release of the Financial Conduct Authority’s Vulnerable Customer Guidance and now the Consumer Duty the fair treatment of vulnerable customers is, quite rightly, a focus area for the FCA. It has, therefore, never been more important to ensure that we are compliant with the rules. The author of this course is a specialist in this area, having written guidance on behalf of the Money Advice Trust. This course takes the learner through the competencies necessary to identify vulnerable customers, manage disclosure, navigate data protection considerations and, importantly, provide support options. The course is designed for all staff who may come into contact with vulnerable customers, and those who design FS products and services. This course covers: 1. An introduction to vulnerability 2. An overview of how to identify vulnerable customers 3. An explanation of the difference between cause and effect in vulnerability-causing conditions 4. How to record vulnerability in line with Data Protection law 5. How to support vulnerable customers in practice 6. Soft skills and how to guide the conversation Course completion: 40 minutes
£30+VAT Per Learner