How confident are you and your team with FCA Compliance?
We mentor and educate Senior Manager(s) and all their staff regarding all regulatory rules and principles. This will radically help to lower the risk to your firm & all staff of breaching conduct rules and principles
We deliver both face to face and online virtual training courses which are available to book for individuals or for your numerous members of your business.
A Guide to the Financial Conduct Authority (FCA) and Compliance
Course Outline: This module will give you and your team an insight to the FCA and their overall regulations whilst also covering the main threshold conditions that all regulated firms must meet, subjects such as Complaint’s, Vulnerable customers, Treating customers fairly and financial promotions.
Senior Manager’s Individual and Conduct Rule
Course Outline: This module will give both the Senior manager and their staff who undertake regulated activities as part of their day-to-day jobs a full understanding of what the new rules mean, the module will be focused on real time scenarios of the 5 senior manager and 4 individual conduct rules and by the end ensuring that everyone has a better understanding of both good and bad practices.