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
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.
Course 2: GDPR e-Learning
An introduction to the ICO and its expectations of firms under GDPR
1 user
£120 +VAT per annum
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:
Course 3: CMC e-Learning
In April 2019, regulation of the Claims Management sector passed from the “Claims Management Regulation Unit” (CMRU) to the “Financial Conduct Authority” (FCA), and this course is aimed at managers and employees of Claims Management Companies.
1 user
£150 +VAT per annum
In April 2019, regulation of the Claims Management sector passed from the “Claims Management Regulation Unit” (CMRU) to the “Financial Conduct Authority” (FCA), and this course is aimed at managers and employees of Claims Management Companies.
The course is split into 9 modules:
Course 4: SM&CR – Senior Manager Conduct Rules
Senior Manager Conduct Rules
1 User
£75 +VAT per annum
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.
The aims and objectives of this module are that by the end of the module you will:
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
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 and objectives of this module are that by the end of the module you will:
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.
Course 6: General Insurance
An overview of the General Insurance marketplace and regulation in the UK
1 User
£150 +VAT per annum
The aim of the course:
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
Course 7: Financial Crime - Bribery, Corruption, Money Laundering
Understand what is meant by the term Bribery, Corruption and Money Laundering.
1 User
£50 +VAT per annum
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.
Course 8: Treating customers fairly
Treating customers fairly and the care of vulnerable customers in the consumer credit market
1 User
£50 +VAT per annum
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
Each course is CPD approved for 5 hours and the CPD will issue certificates on successful completion of the module tests.
Our e-Learning programme’s will be a great introduction to training and invaluable as a pre- Senior Managers & Certification Regime course (further SM&CR courses will follow), applicable to all Consumer Credit & Insurance Mediation firms. Our interactive multimedia, e-Learning system encompasses a blend of text, graphics, video & audio, to create a high-impact learning experience. Completion of our modules will go a long way to demonstrate to the FCA & ICO that your firm meets their Threshold Conditions.
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