Compliance Training

Compliance Training Workshop

Upcoming Courses
Bespoke Training
CPD Accredited

We are here to help firms to understand their responsibilities once they are FCA authorised and this can be achieved through attendance at our training days.

Aimed at your firm’s Approved Person, Compliance Manager and Senior Managers, this one day workshop runs from 09:30 to 16:30.

These practical sessions are a great opportunity to exchange dialogue and compare experiences with other firms. There are plenty of useful exercises and activities to reinforce learning. 

Workshop Aims & Objective

By the end of the Workshop you will:
• Understand what the key responsibilities are in running a firm authorised by FCA;
• Know how the FCA intends to supervise your firm;
• Consider what systems and processes you need to put in place to (ACHIEVE)
• Know how to identify risks and compile an effective Compliance Monitoring
Programme to mitigate those risks (MAINTAIN);
• Be able to prepare for an independent audit or an onsite visit by the regulator

Authorised firms must be able to provide evidence to the FCA that they have implemented systems and processes to demonstrate not only that they are compliant, but “Treating Customers Fairly” is at the heart of, and embedded into, the culture

Here’s what some of our past delegates had to say about our training courses:

“I really enjoyed it especially because it was working in teams so learning what others would do to mitigate risks” – Indi Dhame,

“I am now clearer but I am sure when I begin my audit I will have a few questions. I was expecting a seminar which on occasions can be a bit boring. The interactive workshop is a much better idea -it keeps you engaged which means that you retain more of the key information” – Amanda Bowyer, Wizza Limited

“Loads of examples were used of regulation gave me the ability to think about compliance transparently” – Siobhan Waters, JP Mac & Co Ltd

“Very informative. Made me realise how much more there is to learn. Very friendly training environment, better than a seminar – Terry Prior, N. Boltons Finance Ltd

“Plenty to take away to think about and action” – Mark Readyhough, Lohen Ltd

“This course was thought provoking and enabled the group to make a tangible link of what the FCA expects and what we need to do” Max Davidson, T M Advances

“The content and interactive nature of the course addressed the requirements in a simple and understandable way. An excellent well-presented and informative presentation” Paul Rossiter, Pure Leisure Estates Limited

“Covered all details and sourcebook. Some live examples of good/bad applications or fines and penalties. Very well presented concise and clear. Very knowledgeable”
Laura Thurlbeck, Fenwick Limited



The course typically starts at 9.30am and lasts until about 4.30pm. This gives plenty of time for questions and to network with other businesses who are also regulated by the FCA. Refreshments are provided throughout the day and lunch is included.


Windsor House – Harrogate


Some firms require bespoke training specifically tailored to the needs of their own business. To this end, we are happy to work onsite at your premises, or at an appropriate learning environment of your choosing.

Please contact us to discuss this in more detail, and we will be happy to provide a tailored training programme for you.

Accredited CPD training means the learning activity has reached the required Continuing Professional Development standards and benchmarks. The learning value has been scrutinised to ensure integrity and quality. The CPD Certification Service provides recognised independent CPD accreditation compatible with global CPD requirements.

There is an increasing expectation for professionals to undertake Continuing Professional Development regardless of industry sector, career level, job role and responsibilities. The CPD Certification Service helps organisations formalise knowledge into a structured and recognised approach to meet those expectations.

Points or Hours?

It is up to the individual/organisation to set the number of points allocated for the learning activity within their own programmes. However, as an example –  a CPD hour, in a 1 day accredited training course, with a start time of 0900, 1 hour for lunch and finish at 1700 would be 7 CPD hours or 7 CPD points (you can call them either)

Our open accredited course would be 5 CPD hours or 5 CPD points.

Upcoming Training Days

Windsor House- Harrogate
Classroom Training Day

How to Achieve, Maintain and Evidence Compliance to the FCA (AME)

Dates for 2019 to be confirmed.

Here is what some of our customers had to say

  • I engaged Consumer Credit Compliance following the introduction of the new credit regulations. Right from the initial contact I have been impressed by the process, handling of the regulatory matters and the ongoing support. I am confident in the advice provided by my Client Account Manager, Shaun Gill, and am confident that CCC will handle the administration requirements to comply with the regulations. All in all, a first-class service, which I have no hesitation in recommending.

    Roger Lloyd
    Birmingham City Football Club plc
  • Thank you for your excellent service and all the help and advice you provided in enabling me to navigate through the minefield that is FAC regulations. You made a potentially difficult procedure simple, which resulted in my company being authorised by the FCA in a short period of time. It was refreshing to deal with someone who answered all correspondence quickly, thoroughly, efficiently and completed everything on time and correctly. Various other Clarity offices have now used your service and I understand all have been completely satisfied with the process. It was a pleasure dealing with you and your company. Thank for all your help.

    Del Williams
    Clarity Copiers


Windsor House, Cornwall Road, Harrogate, HG1 2PW

01423 522 599