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Overview
This module provides a high level examination of the legal and regulatory responsibilities regarding anti-competitive activity relating to those firms and individuals operating in the financial services sector
Understand Why Approved Persons are necessary and what their duties are. Learners discover how they can become an approved person, the factors considered during the approval process and how to keep the FCA informed of any changes to a firm’s Approved Persons.
The UK Financial Conduct Authority’s Client Assets Sourcebook (CASS) governs firms that perform certain investment, debt management and insurance-related activities with money and assets belonging to their clients. The main purpose is to protect those clients, for example in case of business failure or their assets being mishandled
This module has been designed as a guide to this sourcebook. We explore key regulatory requirements and demonstrate how to satisfy the FCA’s expectations of handling client assets
In this module, we examine the regulatory requirements set out in Chapters 1 (Application and Purpose) and 1A (Firm Classification and Operational Oversight) of the Financial Conduct Authority’s (FCA) Client Assets Sourcebook (CASS)
This module examines the regulatory requirements set out in Chapter 3 (Collateral) of the Financial Conduct Authority’s (FCA) Client Assets Sourcebook (CASS)
This module is an introduction to CASS 5, which contains the FCA’s client money rules for insurance intermediaries.
We provide an overview of what the rules are and what they look like in practice, including how to determine what constitutes ‘client money’. We also look at how the FCA expects insurance intermediaries to act when handling client money, and how businesses can stay on the right side of the regulator
This module will examine the regulatory requirements set out in Chapter 6 (Custody Rules) of the Financial Conduct Authority’s (FCA) Client Assets Sourcebook (CASS)
Learners understand the CASS 7.11 guidance on how firms should treat client money and the ways firms can segregate client money; becoming aware of the requirements when a firm allows another person to hold client money without discharging its fiduciary duty to the client. Gain clarity on the records and accounts that are required under CASS 7 rules and understand the actions to be taken if a firm that is holding client money goes bankrupt
In this module, we will examine the regulatory requirements set out in Chapter 8 (Mandates) of the Financial Conduct Authority’s (FCA) Client Assets Sourcebook (CASS)
This module will examine the regulatory requirements set out in Chapter 9 (Information to clients) of the Financial Conduct Authority’s (FCA) Client Assets Sourcebook (CASS)
This module examines the regulatory responsibilities placed on firms in relation to chapter 10 (CASS Resolution Pack) of the Financial Conduct Authority’s Client Assets Sourcebook (CASS)
It covers the background of the CASS Resolution Pack, the requirements of CASS 10 and it’s best practice, as well as how the FCA upholds these rules
This module will help you understand the regulatory responsibilities placed on firms in relation to chapter 11 of the FCA’s Client Assets Sourcebook (CASS) which applies to debt management firms that receive or hold client money, the FCA’s high level principles which underpin the client money rules and the specific requirements for receiving and holding client money within the context of debt management
This module looks at crime in the financial services industry. It will help you understand the rules that cover anti-bribery and corruption and consider how firms should implement their own systems and controls
This module introduces you to the themes you need to be aware of when considering conduct risk and covers the main elements that senior managers need to take into account when setting strategy and business plans
Please note that this module builds on the content contained in the Treating Customers Fairly and Introduction to FCA Regulations modules
This module provides a high level examination of the regulatory responsibilities placed on firms when identifying and managing conflicts of interest
This module delivers an overview of what the UK Criminal Finances Act is and what it helps to achieve. It covers the offences introduced by the Act and how an organization can avoid committing tax evasion. Finally, it covers Unexplained Wealth Orders and how the Act has changed the Suspicious Activity Reports (SAR) regime
This module looks at cryptocurrencies, including the clarification of common terms such as blockchain, and how they are used in secure financial transactions. The module explores the advantages and disadvantages of cryptocurrency and considers how it will impact transactions in the future
The subject of working with vulnerable customers is of particular concern to the Financial Conduct Authority. It’s important that financial services firms find ways of identifying those customers who have vulnerabilities which may expose them to financial detriment, and that steps are then taken to safeguard these people and provide the best service according to their circumstances
This module outlines the requirements of the Data Protection Act and what you need to do to comply with these requirements
This module will help you understand the main categories of financial crime and the relevant regulation. It also looks at which agencies are responsible for combating crime, the role of the UK financial services regulator and the responsibilities of individuals working in financial services
This module provides a high level introduction to Financial Markets
This module looks at what we mean by the term ‘financial promotion’, as well as the key issues associated with the subject. We also explore the legal and regulatory requirements involved
This introductory module provides an overview of financial sanctions and how they apply to the insurance industry in the UK
By completing this course learners find out what fraud is and why it’s important to know about it. Exploring UK law and FCA regulations relating to fraud, becoming become familiar with ways of spotting fraud and learning how to apply anti-fraud measures to mitigate the risks. The module also considers the responsibilities of employees and how to report any concerns
This module looks at the rules relating to FCA-regulated complaints, the procedures that your firm needs to adopt to handle complaints effectively and how those procedures should be implemented
The IDD updates the original Insurance Mediation Directive regulation since its introduction in January 2005 and is designed to ease the difficulties firms encounter when trading cross-border within the EU, create consistency among all participants by supporting competition strengthen policyholder protection when purchasing insurance. The IDD ensures all parties act professionally, honestly, fairly and in the best interests of their clients
A high-level introduction to the EU General Data Protection Regulation (GDPR) that took effect on 25 May 2018. The module covers the background to GDPR and how its key points compare and contrast with the provisions in the DPA 1998. Also covered are an individual’s rights, accountability and the associated GDPR governance.
The purpose of this module is to familiarise the learner with the subject of insider dealing – what we mean by the term, the key issues involved and the legal and regulatory factors that impact upon those within the financial services sector
This module looks at what we mean by ‘accounting’ and some of the most commonly used terminology associated with the subject. It covers the key areas of the practice, including the basics of bookkeeping, the accounting cycle, financial statements and reporting
This module will help you understand why the FCA regulations on consumer credit were created, how consumer credit is regulated in the UK, what’s expected of FCA-regulated firms in terms of consumer credit control and the key areas of the regulations
This module will help you understand the regulation of UK financial services and your responsibilities in respect of this regulation
A comprehensive introduction to the subject of lending. Key terminology is explained as the main areas of lending are examined in detail. The most common types of financial vehicle are identified, along with the associated legal and regulatory requirements
The Senior Managers and Certification Regime (SM&CR) aims to reduce harm to consumers and strengthen market integrity by making colleagues aware of their accountabilities for their conduct and competence
Learners begin with an overview of financial regulations in the UK and then look at how they are important not just for the financial sector but also for consumers. There is further detail at the senior management arrangements, systems and controls that different firms require to comply with regulations, followed by an exploration of who has ultimate accountability and day-to-day responsibility
This module looks at what Treating Customers Fairly (TCF) means for organizations and customers, the regulatory requirements of meeting TCF and how firms can fulfil regulatory responsibilities in respect of TCF
This module provides a high level examination of the legal and regulatory responsibilities regarding whistleblowing
How many employees require elearning? 0-500500-10001001-30003001-50005001-10000
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