Online Training: Full training course list
1. Compliance Essentials
1.1 Essentials
These courses should take around 40-60 minutes to complete each, including a graded assessment.
1.1.1. Anti-Bribery Training
1.1.2. Anti-Money Laundering and Counter Terrorist Financing (AML/CTF) (UK)*
1.1.3. Bribery Prevention*
1.1.4. Business Ethics and Integrity
1.1.5. Code of Conduct
1.1.6 Competition Law*
1.1.7. DAC6
1.1.8. Data Protection*
1.1.9. Electronic Communications
1.1.10. Embargoes and Sanctions
1.1.11. Environmental Awareness
1.1.12. Environmental Social and Governance (ESG)
1.1.13. Equality and Diversity in the Workplace*
1.1.14. Equality and Diversity for Managers
1.1.15. Financial Crime Prevention
1.1.16. Financial Integrity
1.1.17. Financial Sanctions
1.1.18. Fraud Prevention*
1.1.19. Fraud Prevention for Managers
1.1.20. Healthy Working
1.1.21. Identity Theft
1.1.22. Information Security*
1.1.23. Intellectual Property Rights
1.1.24. Managing Safely*
1.1.25. Mental Health at Work
1.1.26. Mental Health at Work for Managers
1.1.27. Modern Slavery
1.1.28. PCI Data Security Standard
1.1.29. Preventing the Facilitation of Tax Evasion
1.1.30. Records Management
1.1.31. Responsible Use of Social Media
1.1.32. Safeguarding the Vulnerable*
1.1.33. Sexual Harassment
1.1.34. Speak Up
1.1.35. UK Market Abuse Regulation (UK MAR)*
1.1.36. Unconscious Bias
1.1.37. Unconscious Bias for Managers
1.1.38. Whistleblowing
1.1.39. Working Safely
1.2 Essentials Refresher
These courses should take around 15 minutes to complete, including a graded assessment.
1.2.1. Anti-Money Laundering - FS Version
1.2.2. Anti-Money Laundering - Non-FS Version
1.2.3. Bribery Prevention
1.2.4. Data Protection
1.2.5. Economic Sanctions*
1.2.6. Equality and Diversity in the Workplace
1.2.7. Fraud Prevention
1.2.8. Healthy Working*
1.2.9. Information Security
1.2.10. Modern Slavery
1.2.11. Preventing the Facilitation of Tax Evasion - FS Version
1.2.12. Preventing the Facilitation of Tax Evasion - Non-FS Version
1.2.13. UK Market Abuse Regulation (UK MAR)
1.2.14. Whistleblowing
1.2.15. Working Safely
1.3 Essentials Express
These courses will take around 10-15 minutes to complete, including a graded assessment.
1.3.1. Abuse of Dominant Position
1.3.2. Abuse of Position
1.3.3. Anti-Competitive Agreements
1.3.4. Corrupt Hiring Practices
1.3.5. Counter Terrorist Financing
1.3.6. Customer Due Diligence
1.3.7. Cybersecurity
1.3.8. DSE (Display Screen Equipment)
1.3.9. Gifts and Hospitality
1.3.10. Hybrid Working
1.3.11. IR35
1.3.12. Managing Remote Workers
1.3.13. Money Laundering and Terrorist Financing Risks of Virtual Assets
1.3.14. PDMR Dealing
1.3.15. Phishing
1.3.16. Preventing Radicalisation
1.3.17. Privacy and Electronic Communications Regulations (PECR)
1.3.18. Right to Work in the UK
1.3.19. Suspicious Activity Reporting
1.3.20. Third-Party Due Diligence
1.3.21. Tipping Off
1.3.22. To Pay or Not to Pay?
1.3.23. Working From Home
2. FCA Compliance
These courses should take around 30-60 minutes to complete, including a graded assessment.
2.1. AIFM Regulations
2.2. Appropriate Use of Communication Channels
2.3. Appointed Representatives regulatory responsibilities
2.4. BCOBS - Distance Communications
2.5. BCOBS - General Standards
2.6. Benchmarks Regulation
2.7. Breathing Space Regulations
2.8. CASS - Client Money and Client Assets
2.9. CASS 7&7A – Client Money Rules & Client Money distribution & Transfer
2.10. CeMAP Competency Refresher
2.11. COBS – Appropriateness
2.12. COBS - Client Categorisation
2.13. COBS - Client Communications and Financial Promotions
2.14. COBS - Dealing and Managing
2.15. COBS - Suitability
2.16. Complaints Handling
2.17. Complaints Handling for Managers
2.18. Complaints Handling for the Mortgage Market
2.19. CONC - Consumer Credit Regulations
2.20. Conduct Risk
2.21. Treating Customers Fairly
2.22. Conflicts of Interest in Asset Management
2.23. Introduction to Consumer Duty
2.24. Overview of Consumer Duty*
2.25. Ethical Standards in Finance and Investment
2.26. Financial Crime Prevention
2.27. FSCS Deposit Protection
2.28. FX Global Code
2.29. Good Outcomes for Vulnerable Customers*
2.30. ICOBS - Cancellation and Claims
2.31. ICOBS - Distance Communications
2.32. ICOBS - General Matters
2.33. ICOBS - Providing Information and Advising
2.34. Information Barriers
2.35. Introduction to UK Financial Regulation
2.36. Markets in Financial Instruments Directive II (MiFID II)
2.37. MCOB - Advising and Selling
2.38. MCOB - APRC, Shortfalls and Charges
2.39. MCOB - Disclosures
2.40. MCOB - Equity Release
2.41. MCOB - Financial Promotions
2.42. MCOB - General Standards
2.43. Mortgage Credit Directive
2.44. Mortgage Market Review
2.45. Operational Resilience
2.46. Packaged Retail and Insurance-based Investment Products (PRIIPs) Regulation
2.47. Payment Services Regulations
2.48. Personal Conflicts of Interest
2.49. PRA SS2/21 – Outsourcing and Third- Party Risk Management
2.50. Principles for Businesses
2.51. Prudential Regulation
2.52. Responsible Lending and Affordability
2.53. Retail Distribution Review
2.54. SEC Rule 15a-6
2.55. Senior Management Arrangements Systems and Controls
2.56. Swap Execution Facilities (SEFs) and Designated Contract Markets (DCMs)
2.57. Training and Competence
2.58. UCITS
2.59. Whistleblowing for Managers (FS)
2.60. Whistleblowing in Financial Services
3. SM&CR
These courses should take around 40-60 minutes to complete, including a graded assessment.
3.1. Fit and Proper Assessments
3.2. Introduction to the Senior Managers and Certification Regime (SM&CR)
3.3. SM&CR Conduct Rules for Non-Executive Directors (NEDs)
3.4. SM&CR - Non-Financial Misconduct
3.5. SM&CR Spaced Learning
3.6. Solo Core - Conduct Rules for Certified Persons
3.7. Solo Core - Conduct Rules for Certified Persons (Asset Managers)
3.8. Solo Core - Conduct Rules for Conduct Rule Employees
3.9. Solo Core - Conduct Rules for Senior Managers
3.10. Solo Core - Overview of SM&CR
3.11. Solo Enhanced - Conduct Rules for Senior Managers
3.12. Solo Enhanced - Overview of SM&CR
3.13. Solo Limited Scope - Conduct Rules for non-Certified Persons
3.14. Solo Limited Scope - Conduct Rules for Certified Persons
3.15. Solo Limited Scope - Conduct Rules for Senior Managers
3.16. Solo Limited Scope - Overview of SM&CR
3.17. SM&CR Banking - Conduct Rules for non- Certified Persons
3.18. SM&CR Banking - Conduct Rules for Certified Persons
3.19. SM&CR Banking - Conduct Rules for Senior Managers
3.20. SM&CR Banking - Overview of SM&CR
4. Global Compliance
All courses in this library are available in English, Brazilian Portuguese, Chinese (Simplified), Dutch, French, German, Italian, Japanese, Polish and Spanish.
4.1. Anti-Money Laundering & Counter-Terrorist Financing*
4.2. Bribery Prevention*
4.3. Competition Law*
4.4. Code of Conduct
4.5. Conflicts of Interest
4.6. Cybersecurity*
4.7. Diversity, Equity and Inclusion (DEI)
4.8. Digital Operational Resilience Act (DORA)
4.9. Embargoes and Sanctions
4.10. EU DAC
4.11. Fraud Prevention*
4.12. General Data Protection Regulation (GDPR)
4.13. Information Security*
4.14. Market Abuse Regulation*
4.15. Modern Slavery
4.16. Unconscious Bias
4.17. Whistleblowing
*CPD accredited.
For more information on our Online Training Solution click here