COURSES IN THIS LIBRARY COVER CLAIMS MANAGEMENT AND CORE FCA COMPLIANCE.
You can choose the courses that suit your firm's needs:
CLAIMS MANAGEMENT: CONDUCT OF BUSINESS SOURCEBOOK
This course will help you to understand the following topics:
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General Principles
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Financial Promotions
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Pre-contractual requirements
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Post-contractual requirements
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Prudential requirements and Professional Indemnity Insurance
- Client Assets (CASS) Requirements
Approx 60 minutes
All staff
COMPLAINTS HANDLING
This course will help you to:
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Correctly apply the requirements for dispute resolution within your firm
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Understand the differences in procedures between MiFID and non-MiFID business
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Appreciate how complaint handling links with Treating Customers Fairly (TCF)
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Handle complaints correctly within the context of the Financial Ombudsman Service (FOS)
Approx 30 minutes
All staff
CONFLICTS OF INTEREST
This course will help you to:
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Understand why conflicts of interest matter
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Describe different types of conflicts
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Understand the main FCA requirements for conflicts of interest policies
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Know how to identify, prevent, or manage conflicts of interest
Approx 35 minutes
All staff
FCA COMPETENCE SUPERVISION
The FCA states that it is not sufficient for employees to demonstrate achievement of competence, employers are also required to supervise those involved in regulated activities. This course explains:
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The supervisor's role
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How to assess and maintain competence
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Record keeping requirements
Approx 30 minutes
All staff
FCA REGULATORY ENVIRONMENT
This course will help you to:
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Understand the FCA are and what it does
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Describe how firms and the FCA communicate with each other
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Describe what information is held on firms
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Understand how to find the rules that affect your firm
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Understand how the FCA expects firms to be compliant
Approx 30 minutes
All staff
FRAUD AWARENESS
This course will:
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Give you a background to and understanding of applicable fraud regulations
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Help you understand the typical risks that firms face and the prevalence of fraud
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Help you apply these concepts to your work through the use of case studies
Approx 50 minutes
All staff
TREATING CUSTOMERS FAIRLY
This course will help you to:
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Understand the implications of the FCA principle of 'treating customers fairly'
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Understand why it is so important to your firm
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Describe the different ways in which your firm can evidence it is treating customers fairly
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Understand how your role helps your firm to do this
Approx 45 minutes
All staff
VULNERABLE CUSTOMERS
This course will help you to:
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Understand how to identify a potentially vulnerable customer
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Understand what steps you and your firm can take to help vulnerable customers
Approx 45 minutes
All staff
WHISTLEBLOWING
After taking this course you will be able to:
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Describe what Whistleblowing is and types of issues that can be raised
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Understand your firm's responsibilities
- Understand how to raise a concern
Approx 15 minutes
All staff
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CLASSROOM AND WORKSHOP TRAINING
Firms that require a higher-level, more in-depth training experience can book classroom training and workshops. These can cover all areas of compliance, including important issues such as AML/CTF, payment services/PSD2; SMCR conduct rules, culture and ethics; and board briefings that help firms consider their risk and compliance planning and strategies.
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