COURSES IN THIS LIBRARY COVER MORTGAGES AND CORE FCA COMPLIANCE.

You can choose the courses that suit your firm's needs:

MORTGAGE: CONDUCT OF BUSINESS SOURCEBOOK

This course will help you to:

  • Understand the difference between a regulated mortgage contract and a home purchase plan

  • List the information that must be provided to customers

  • Understand suitability and advice requirements

Approx 45 minutes

 All staff

APPOINTED REPRESENTATIVES' RESPONSIBILITIES

This course will help you to:

  • Understand the main responsibilities of an Appointed Representative (AR)

  • Understand the changes the firm may need to make to its sales process

  • Understand Principals and their Appointed Representatives

Approx 30 minutes

 All staff

PRINCIPALS & THEIR APPOINTED REPRESENTATIVES

This course will help you to:

  • Understand the key responsibilities of the Principal firm

  • Describe the due diligence the Principal will need to carry out on the prospective Appointed Representative (AR)

  • Understand the importance of monitoring Appointed Representatives (ARs)

Approx 45 minutes

 All staff

COMPLAINTS HANDLING

This course will help you to:

  • 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)

Approx 30 minutes

 All staff

 

CONFLICTS OF INTEREST

This course will help you to:

  • 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

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:

  • The supervisor's role

  • How to assess and maintain competence

  • Record keeping requirements

Approx 30 minutes

 All staff

FCA REGULATORY ENVIRONMENT

This course will help you to:

  • 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

Approx 30 minutes

 All staff

FRAUD AWARENESS

This course will:

  • 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

Approx 50 minutes

 All staff

TREATING CUSTOMERS FAIRLY

This course will help you to:

  • 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

Approx 45 minutes

 All staff

VULNERABLE CUSTOMERS

This course will help you to:

  • Understand how to identify a potentially vulnerable customer

  • 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:

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

  • Understand your firm's responsibilities

  • Understand how to raise a concern

Approx 15 minutes

 All staff

SEE OUR OTHER COURSE LIBRARIES

 

ANTI-MONEY LAUNDERING

View courses

CAPITAL MARKETS

View courses

CLAIMS MANAGEMENT

View Courses

CONSUMER CREDIT

View courses

CORE FCA COMPLIANCE

View courses

INSURANCE

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MORTGAGES

View courses

PAYMENT SERVICES

View courses

 

STAFF TRAINING

View courses

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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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