Claims Management Online Training Courses

General Principles

Financial Promotions

Pre-contractual requirements

Post-contractual requirements

Prudential requirements and Professional Indemnity Insurance

Correctly apply the requirements for dispute resolution within your firm

Understand the differences in procedures between MiFID and non-MiFID business

Appreciate how complaint handling links with Treating Customers Fairly (TCF)

Handle complaints correctly within the context of the Financial Ombudsman Service (FOS)

Understand why conflicts of interest matter

Describe different types of conflicts

Understand the main FCA requirements for conflicts of interest policies

Know how to identify, prevent, or manage conflicts of interest

The supervisor's role

How to assess and maintain competence

Record keeping requirements

Understand the FCA are and what it does

Describe how firms and the FCA communicate with each other

Describe what information is held on firms

Understand how to find the rules that affect your firm

Understand how the FCA expects firms to be compliant

Give you a background to and understanding of applicable fraud regulations

Help you understand the typical risks that firms face and the prevalence of fraud

Help you apply these concepts to your work through the use of case studies

Understand the implications of the FCA principle of 'treating customers fairly'

Understand why it is so important to your firm

Describe the different ways in which your firm can evidence it is treating customers fairly

Understand how your role helps your firm to do this

Understand how to identify a potentially vulnerable customer

Understand what steps you and your firm can take to help vulnerable customers

Describe what Whistleblowing is and types of issues that can be raised

Understand your firm's responsibilities