COURSES IN THIS LIBRARY COVER PAYMENT SERVICES AND CORE FCA COMPLIANCE.
You can choose the courses that suit your firm's needs:
INTRODUCTION TO ELECTRONIC MONEY REGULATIONS 2011
This course will help you to:
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Understand what constitutes a regulated activity
-
Understand the FCA's role under the Electronic Money Regulations and how they will monitor you
- List the various rules of the EMRs including:
- The Conduct of Business Rules
- Safeguarding
- Capital Requirements
- Complaints Handling
Approx 45 minutes
All staff
INTRODUCTION TO PAYMENT SERVICES REGULATIONS 2017
This course will help you to:
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Describe what constitutes a regulated activity
-
Understand the FCA's role under the Payment Services Regulations
-
Understand your obligations under the Payment Services Regulations
-
Understand the FCA's requirements for reporting and notification and what information to submit
Approx 45 minutes
All staff
PAYMENT SERVICES & E-MONEY CONDUCT OF BUSINESS REQUIREMENTS
This course will help you to:
- Understand the detailed obligations that are specific to regulated Payment & E-Money Institutions
Approx 45 minutes
All staff
CONFLICTS OF INTEREST
This course will help you to:
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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:
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The supervisor's role
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How to assess and maintain competence
-
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
-
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:
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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
-
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 PERSONS
This course will help you to:
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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
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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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