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 […]
FCA Consumer Compliance Full Course – for Sales and Compliance Staff
Welcome to FCA Consumer Compliance Full Course – for Sales and Compliance Staff This complete consumer credit compliance course will guide your business and staff through everything you need to know about being FCA Compliant including: FCA Permissions Consumer Credit Financial Promotions Complaints Financial Crime Vulnerable Customers The Senior Managers & Certification Regime An Introduction […]
FCA Consumer Compliance Full Course – for Senior Managers and Directors
Welcome to FCA Consumer Compliance Full Course – for Senior Managers and Directors This complete consumer credit compliance course will guide you through everything you need to know about being FCA Compliant, including: FCA Permissions Consumer Credit Financial Promotions Complaints Financial Crime Vulnerable Customers The Senior Managers & Certification Regime An Introduction to Consumer Duty […]
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 […]