Financial services compliance training to help regulated firms meet their FCA obligations 

• Introduction to the Financial Conduct Authority (FCA) 
• Conduct Risk 
• Culture and Ethics 
• Senior Managers Regime 
• Senior Management Arrangements, Systems and Controls 
• An Introduction to the Senior Managers and Certification Regime 
• Certification Regime 
• The Conduct Rules 
• The Conduct Rules — Key Points Video 
• Anti-Money Laundering and Countering Terrorist Financing for Financial Services 
• Bribery and Corruption for Financial Services 
• Combatting Market Abuse for Financial Services 
• Criminal Corporate Liability for Financial Services 
• Customer Due Diligence 
• FATCA 
• Fighting Fraud for Financial Services 
• Introduction to Financial Crime 
• MLRO: The Role of the Money Laundering Reporting Officer 
• Modern Slavery for Financial Services 
• Consumer Duty 
• Handling Complaints: Some Tips — Key-points Video 
• Handling Regulated Complaints 
• How to Handle Regulated Complaints — Key-points Video 
• Treating Customers Fairly — Non-Retail Market Business 
• Understanding Vulnerable Consumers 
• Whistleblowing with Confidence 
• Whistleblowing with Confidence for Financial Services 
• Complying with Sanctions 
• Financial Promotions 
• Freedom of Information for Financial Services 
• Managing Conflicts of Interest 
• Managing Regulatory Reviews and Audits for Financial Services 
• Risk and Operational Resilience 
• The Regulatory Regime for Claims Management Companies 
• Environmental, Social and Governance (ESG) for Senior Leaders for Financial Services 
• Equity, Diversity and Inclusion for Financial Services 
• Green Finance and ESG 
• Introduction to Sustainability for Financial Services 
• Sustainable Business Management 
• Maintaining Information and Cybersecurity 
• Cryptocurrencies 

• An introduction to MiFID II  
• COBS Appropriateness  
• COBS Best execution  
• COBS Client categorisation  
• COBS Dealing and managing  
• COBS Essentials  
• COBS Suitability  
• Introduction to BCOBS and the PSRs (Banking)  
• Introduction to BCOBS and the PSRs (Building societies)  
• Introduction to the Prudential Regulation Authority (PRA)  
• Payment Card Industry (PCI) Awareness for Financial Service  
• The basics of CASS  
• Transaction Reporting 

• Arrears and possessions  
• Buying, selling and financing property: the parties and methods involved  
• Consumer credit (CONC) Arrears management  
• Consumer Credit Regulations (Motor Finance)  
• Consumer Credit Regulations (Personal Loans and Credit Cards)  
• Customer interactions  
• Equity release, home purchase plans, sale and rent back and commercial mortgages  
• Insurances to consider alongside a mortgage  
• Mortgage advice and the criteria to fulfill  
• Mortgage and home finance regulation and the various types of mortgages  
• The Regulation of Pre-Paid Funeral Plans 

Our online financial services training content is developed in partnership with ZISHI, specialists in financial services compliance. Our courses reflect current regulatory requirements and real sector expertise, grounded in how the rules apply in practice, not how they read on paper.   

No, you don’t need a specific LMS. The bundle is accessible through any learning management system, including Access LMS Evo. 

Our financial services training courses are suitable for all staff working in FCA-regulated firms — including banking, lending, insurance, investments, and claims management. Courses are designed for different audiences, from front-office and advisory staff to compliance officers and Senior Managers. Some courses, such as Introduction to the FCA, require no prior regulatory knowledge. 

These courses build the knowledge and awareness that underpins compliant practice. They give managers and employees the knowledge to act correctly in everyday situations and to understand their obligations against FCA regulations. They do not replace specialist legal advice for complex individual cases or formal finance qualifications or certifications. 

Our financial services compliance courses are reviewed and updated to reflect regulatory changes. When the FCA updates its requirements, our content is revised accordingly, so your employees always have access to current training without your team having to manage content updates. If we create any new courses, we add these to the relevant bundle at no additional cost. 

Yes, organisations within the financial services sector are legally required to train and equip employees through compliance training to allow them to fully understand the legislation, regulations and best practices for the sector or industry they operate in.

Compliance training is critical in ensuring businesses within the financial services industry adhere to the necessary laws, regulations and industry standards.

The Financial Conduct Authority (FCA) outlines strict and stringent requirements for compliance within financial services. The FCA requires organisations to adhere to Conduct Rules, report accurately, maintain robust compliance policies, obtain FCA authorisation, and uphold standards relating to client money protection, consumer fairness, market integrity and crucially staff training.

Specifically, key requirements for FCA compliance include:

• Conduct Rules: The FCA’s Conduct Rules outline the expected standards of behaviour and integrity to which organisations must adhere.
• Reporting and Disclosure: Organisations are required by the FCA to provide timely and accurate reports including financial reports, while organisations must also disclose any significant changes in their operations. 
• Compliance Policies and Procedures: The FCA requires organisations to maintain robust compliance policies and procedures that are suitable for their business activities. Areas these should cover include anti-money laundering, customer due diligence and risk management.
• FCA Authorisation: Where organisations engage in regulated business and activities, they must be FCA authorised. To achieve and maintain authorisation, organisations must meet specific criteria set out by the FCA. 
• Client Money and Assets: Where organisations hold client money or assets, they must adhere to strict rules around segregation, protection and reconciliation of this money or assets.
• Consumer Fairness and Protection: Organisations must ensure customers are treated fairly and are communicated to in a transparent manner, ensuring products and services meet customer expectations. Complaints handling and dispute resolution are also areas which organisations must uphold the highest standards possible.
• Market Integrity: To uphold the integrity of financial markets, organisations must conduct themselves in a manner that ensures fair and orderly trading and proper oversight of trading activities.
• Training and Competence: Organisations are required to ensure employees are trained to a standard which allows them to be competent and perform their roles effectively and in a compliant manner, including keeping up to date with regulatory changes and developments.

Compliance in finance refers to how organisations adhere to the laws, rules and regulations set within the financial services sector and capital markets. Compliance in finance helps mitigate risks, protect customer interests and maintain the integrity of the financial system. Examples include Anti-Money Laundering (AML) compliance, Know Your Customer (KYC) compliance and GDPR among many other sets of regulation governing financial services.