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

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.

This course is designed for those seeking a working knowledge or a greater appreciation of the General Insurance Market in the UK. New rules in the Insurance Distribution Directive require employees of firms to complete 15 hours of continuous professional development per year to keep their knowledge up to date and this course will assist towards that.

The course is split into 6 modules.

1. An introduction to General Insurance
2. General Insurance Regulations and Supervision
3. Treating Customers Fairly
4. The Care of Vulnerable Customers
5. Complaints Handling
6. Claims Handling

Financial crime surrounds us all in the form of fraud, cybercrime, scam phone calls and email scams. The FCA requires all consumer credit firms to put in place systems and controls to reduce the risk that they may be exposed to in furthering financial crime. The FCA will look at measures that firms take to monitor, detect and prevent financial crime risk. The FCA is responsible for supervising how some consumer credit firms comply with the Money Laundering Regulations.

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

1. Understand what is meant by the term Bribery, Corruption and Money Laundering.
2. What type of activities could be described as Bribery.
3. Identify the 3 Stages involved in Money Laundering.
4. What your responsibilities are if you suspect Bribery or Money Laundering has occurred in your firm.
5. Understand the consequences for yourself and the firm of not complying with the regulations.
6. Be aware of the systems and procedures firms must have in place to help prevent bribery, corruption or money laundering.
7. Understand the 3 reasons where you could be liable under the Money Laundering Regulations.

Treating customers fairly and Protecting vulnerable customers is a key priority for the FCA. There are many different drivers of vulnerability, and the FCA have published guidance and assistance for authorised firms to help them protect their customers and treat them fairly.

The FCA’s Financial Lives Survey of 2017 showed that 50% of UK adults display one or more characteristics of being potentially vulnerable. So what is a vulnerable customer, how could we identify them and how should we treat them.

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

1. Understand what is treating customers fairly.
2. Understand the Treating Customers Fairly consumer outcomes.
3. Understand how to monitor consumer outcomes.
4. Recognise who are vulnerable customers.
5. Be able to identify the signs of potential customer vulnerability.
6. Understand why and when customers can become vulnerable.
7. Be able to demonstrate your knowledge learnt from this module by completing a simple assessment.

The aim of the course:

It will provide you with a working knowledge of what The Consumer Duty is and the key features it is comprised of.

The course is split into 2 modules:

1. An introduction to the Consumer Duty
2. Key features of The Duty