Course Overview

This course will provide you with a clear understanding of how the Financial Conduct Authority expects your firm to behave and conduct itself when dealing with your customers.

The FCA expects authorised firms to continuously record, maintain and evidence the training of both you and your staff, to ensure that they are up to date with both current and future regulatory changes, and e-Learning is a cost-effective way of doing this.

Learning Objectives:

The course is split into 8 modules:

• An introduction to the FCA and its expectations of authorised firms.
• How the FCA monitors firms, and the consequences of getting it wrong.
• Treating customers fairly and the care of vulnerable customers.
• SM&CR – The Individual Conduct Rules
• Pre and Post Contract Responsibilities and “adequate explanations”.
• Financial Crime, Bribery, Corruption and Anti-Money Laundering
• Whistleblowing
• GDPR - General Data Protection Regulation