An Introduction to Consumer Duty for Senior Managers and Directors – Part 2
Welcome to An Introduction to Consumer Duty for Senior Managers and Directors – Part 2 The FCA’s Consumer Duty represents what the regulator terms a “paradigm shift” in its expectations of firms. The Consumer Duty introduces a new Consumer Principle, which requires firms “to act to deliver good outcomes for retail customers”. By the end […]
The Individual Conduct Rules
This course provides a brief overview of the Senior Managers & Certification regime (SMCR) which is the individual accountability regime that applies to firms authorised under the Financial Service & Markets Act 2000 (FSMA). The content is relevant to individual conduct rules staff in limited scope or core firms, acts as a refresher course and […]
The Credit Broker Journey
Welcome to The Credit Broker Journey module This entry-level module is designed for those new to working in a consumer credit brokerage firm. It provides a clear overview of the credit broker journey, helping you understand key processes and regulatory responsibilities. It can also serve as a helpful refresher for Senior Managers looking to revisit […]
The Senior Managers & Certification Regime
Welcome to the The Senior Managers and Certification Regime (SMCR) module The Senior Managers and Certification Regime (SMCR) is a financial services regulation in the UK designed to impose personal accountability on senior managers at financial services firms and improve the conduct of all employees at these firms. This Senior Managers and Certification Regime (SMCR) course provides […]
An Introduction to Consumer Duty for Sales and Compliance Staff – Part 1
Welcome to An Introduction to Consumer Duty for Sales and Compliance Staff – Part 1 The Consumer Duty introduces a new era of consumer protection in the retail financial services market. It sets clearer and higher standards for how firms should behave and the culture they must create to put customers’ needs first. Under the […]
An Introduction to Consumer Duty for Sales and Compliance Staff – Part 2
Welcome to An Introduction to Consumer Duty for Sales and Compliance Staff – Part 2 Building on the foundations set out in Part 1, this module takes a deeper look at what the Consumer Duty means in practice. You will explore the detailed requirements of the Consumer Principle and Conduct Rule, and learn how these […]
An Introduction to Consumer Duty for Senior Managers and Directors – Part 1
Welcome to An Introduction to Consumer Duty for Senior Managers and Directors – Part 1 This module provides senior managers with a comprehensive overview of the FCA’s Consumer Duty. You will learn what the Duty requires of your firm, why it has been introduced, and how it sets higher standards for culture, conduct, and customer […]
Financial Crime
Welcome to the Financial Crime module This comprehensive course provides learners with the essential knowledge and skills to identify, prevent, and respond to financial crime within FCA-regulated environments. Exploring key areas such as fraud, money laundering, bribery and corruption, insider dealing, and market abuse, the course equips participants with a clear understanding of regulatory expectations […]
FCA Permissions
Welcome to the FCA Permissions Module Understanding FCA permissions is essential for any firm operating in the UK’s financial services sector. These permissions form the legal backbone that determines what regulated activities a firm can carry out—and under what conditions. In this module, we’ll break down the permission system introduced by the Financial Conduct Authority […]
Consumer Credit
Welcome to the Consumer Credit Module Consumer credit plays a vital role in today’s economy, allowing individuals to access goods, services, and experiences they might not otherwise afford. But with this convenience comes a complex landscape of regulation, responsibility, and rights. This module is designed to give you a clear and practical understanding of the […]