A practical, short course that addresses misconceptions and poor practices that can lead to breaches of the UK financial sanctions regime.
Financial sanctions (FCA)
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FCA compliance
Introduction to FCA regulation
This course looks at how the Financial Conduct Authority regulates conduct, the principles it sets and the standards and processes set out in the FCA handbook. 20 minutes Enquire about this course
Vulnerable persons
This immersive course explores how firms can ensure that they are treating customers fairly by enabling customer services staff to confidently identify and support vulnerable customers.
Senior Managers and Certification Regime
The Senior Managers and Certification Regime (SM&R) by the Financial Conduct Authority (FCA) aims to create personal accountability and improved conduct within financial markets.
FCA market abuse regulation
The Market Abuse Regulation prohibits insider dealing, unlawful disclosure of inside information and market manipulation.
Conflicts of interest – FCA
Tailored for a UK audience, the course highlights the Financial Conduct Authority (FCA) regulation around conflicts of interest and the impacts on individuals and organisations.
Client money and assets
The Financial Conduct Authority (FCA) Client Assets rules require organisations to arrange for adequate protection of clients’ assets.