e-Learning

Our e-Learning Courses

• Course 1: FCA e-Learning
• Course 2: GDPR e-Learning
• Course 3: CMC e-Learning
• Course 4: SM&CR – Senior Manager Conduct Rules
• Course 5: An Introduction to the Individual Conduct Rules

• Course 1: Course 1: FCA e-Learning

  The Individual Conduct Rules (SM&CR) and why and how the FCA regulates consumer credit firms

  1 user

  £150 +VAT  per annum

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  • Course Aims
  • Modules

  The aim of the course:

  It will provide you with a clear understanding of how the Financial Conduct Authority expects your firm to behave and conduct itself when dealing with your customers.

  The FCA expects authorised firms to continuously record, maintain and evidence the training of both yourself and staff to ensure that they are up to date with both current and future regulatory changes, and e-Learning is a cost-effective way of doing this.

   

   

  The course is split into 8 modules.

  1. An introduction to the FCA and its expectations of authorised firms.
  2. How the FCA monitors firms, and the consequences of getting it wrong.
  3. Treating customers fairly and the care of vulnerable customers.
  4. SM&CR – The Individual Conduct Rules
  5. Pre and Post Contract Responsibilities and “adequate explanations”.
  6. Financial Crime, Bribery, Corruption and Anti-Money Laundering
  7. Whistleblowing
  8. GDPR – General Data Protection Regulation

   

• Course 2: Course 2: GDPR e-Learning

  An introduction to the ICO and its expectations of firms under GDPR

  1 user

  £120 +VAT  per annum

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  • Course Aims
  • Modules

  The aim of the course:

  It will provide you with a clear understanding of how the Information Commissioner’s Office (ICO) expects your firm to behave and conduct itself when dealing with your customers’ personal information.

   

   

  The course is split into 8 modules:

  1. An introduction to the ICO and its expectations of firms under GDPR
  2. Key definitions under GDPR.
  3. GDPR principles and lawful bases for processing.
  4. Lawful bases under GDPR.
  5. Special categories of personal information under GDPR.
  6. Data Security.
  7. Individuals rights.
  8. GDPR breaches.

   

   

• Course 3: Course 3: CMC e-Learning

  The Individual Conduct Rules (SM&CR) and why and how the FCA regulates claims management firms

  1 user

  £150 +VAT  per annum

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  • Course Aims
  • Modules

  The aim of the course:

  From April 2019 your firms regulator will change from the current “Claims Management Regulation Unit” (CMRU) to the “Financial Conduct Authority” (FCA), and the course is aimed at managers and employees of Claims Management Companies.

   

   

  The course is split into 8 modules:

  1. Who is the FCA and what does it expect of Claims Management Companies (CMCs)
  2. How will the FCA supervise CMCs and the consequences of getting it wrong?
  3. Treating customers fairly and vulnerable customers.
  4. Complaints handling.
  5. Marketing and advertising.
  6. Pre and post contract responsibilities.
  7. Financial crime.
  8. Ceasing regulated claims management activities.
  9. SM&CR – The Individual Conduct Rules.

   

   

• Course 4: Course 4: SM&CR – Senior Manager Conduct Rules

  Senior Manager Conduct Rules

  1 User

  £75 +VAT  per annum

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  • Course Aims
  • Modules

  The aims and objectives of this module are that by the end of the module you will:

  1. Understand the importance of the new Conduct Rules for yourself and staff.
  2. Be able to identify the 4 Senior Managers Conduct Rules. (Tier 2 )
  3. Be able to identify the 5 Individual Conduct Rules which apply to you and your staff. (Tier 1)
  4. Obtain an overview of the FCA’s expectations of you and your employees in implementing the Conduct Rules.
  5. Be given examples of what could be a breach of the Conduct Rules.

   

   

  This module is aimed at Senior Managers subject to the SM&CR regime and looks specifically at how the FCA expect you to conduct yourself in the management and oversight of your authorised firm.

   

   

• Course 5: Course 5: An Introduction to the Individual Conduct Rules

  Understand why and how the 5 “Individual Conduct Rules” apply to SM&CR roles

  1 user

  £50 +VAT  per annum

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  • Course Overview
  • Module Aims

  One of the key elements of the SM&CR is that all eligible staff must be trained and understand how and why the 5 “Individual Conduct Rules” apply to their roles. All staff must be trained by the end of 2020 and firms are expected to be able to evidence for both themselves and the regulator.

  The aims of the module are to:

  1. Understand the importance of the Individual Conduct Rules for yourself and your Senior Managers.
  2. Be able to identify the 5 Individual Conduct Rules which apply to all eligible staff of authorised firms. (Tier 1)
  3. Be able to identify the 4 additional Individual Conduct Rules that apply to Senior Managers of authorised firms. (Tier 2)
  4. Obtain an overview of the FCA’s expectations of you in implementing the Individual Conduct Rules.
  5. Examples of what could be a breach of the Individual Conduct Rules.
  6. Identify how the Individual Conduct Rules apply to your role.

  Be given example scenarios that show how not to abide by the rules.
  Examples of what could be a breach of the Individual Conduct Rules.