59280 Courses

Fraud is usually defined by domestic regulators as taking place within a 'given industry' and within the broader legal framework, in a 'given country'. Unethical behaviour is closely related and may be forbidden by industry or law firm associations, accounting organisations, or other private professional groups. In the UK, the Fraud Act 2006 and the Theft Act 1968 outline the primary fraud offenses. A similar outline of offenses exists in legislation such as the companies and tax regulations, and the landscape continues to evolve. The UK hosted an Anti-Corruption Summit in 2016 and enacted the Criminal Finances Act in 2017.

Description KYC/CDD is a critical element for effectively managing the risks posed by potential clients, thus protecting the organization against criminals, terrorists, and Politically Exposed Persons (PEPs) who might present a higher risk, and possible dubious actions by existing customers that need to be regularly reassessed. This course provides an introduction to KYC and CDD procedures, both key tools in assessing customer risk and a legal requirement to comply with Anti-Money Laundering (AML) and Counter-Terrorist Financing (CFT) laws. Training Duration This course may take up to two (2) hours to complete. Keep in mind, however, that actual study time varies based on each learner's training pace. Who Should Enrol? This course is addressed to all individuals who practice AML such as compliance and/or AML managers in banks, investment firms, investment funds, ASPs, trust service corporate providers, and lawyers. Training Method The course is offered online using a self-paced approach. The learning units consist of video presentations and reading material. Learners may start, stop, and resume their training at any time. At the end of the training, participants take a quiz to complete their learning and earn a Certificate of Completion. Accreditation and CPD Recognition The syllabus is verified by external subject matter experts and can be accredited by regulators and other bodies for two (2) CPD units that approve education in financial regulation. The course may be also approved for CPD units by institutions that approve general financial training such as CISI and ACAMS. Eligibility criteria and CPD units are verified directly by your association, regulator, or other any other body for which you hold membership. Registration and Access To register for this course, click on the button above to pay online and receive instant access. If you are purchasing this course on behalf of others, please be advised that you will need to create or use their personal profile before finalising your payment. Access to the course is valid for 180 days. If you wish to receive an invoice instead of paying online, please email us at info@lgca.uk. Also, please get in touch if you'd like to discuss special corporate group rates.

Description This course provides an introduction to the principles of whistleblowing and how it applies in the UK. The course covers a variety of topics, including: The definition of whistleblowing The different types of whistleblowing The legal protections for whistleblowers The different channels for whistleblowing The importance of confidentiality Training Duration This course may take up to 2 hours to be completed. However, actual study time differs as each learner uses their own training pace. Training Method The course is offered fully online using a self-paced approach. The learning units consist of reading material. Learners may start, stop and resume their training at any time. At the end of each session, participants take a Quiz to complete their learning unit and earn a Certificate of Completion upon completion of all units. Accreditation and CPD Recognition This programme has been developed by the London Governance and Compliance Academy (LGCA), a UK-recognised training institution. The syllabus is verified by external subject matter experts and can be accredited by regulators and other bodies for 2 CPD Units that approve education in financial regulation, such as the FCA. The course may be also approved for CPD Units by institutions which approve general financial training, such as the CISI. Eligibility criteria and CPD Units are verified directly by your association, regulator or other bodies which you hold membership. Registration and Access To register to this course, click on the Get this course button to pay online and receive your access instantly. If you are purchasing this course on behalf of others, please be advised that you will need to create or use their personal profile before finalising your payment. If you wish to receive an invoice instead of paying online, please contact us at info@lgca.uk. Access to the course is valid for 365 days.

Description This course provides a brief overview of Suspicious Transactions / Activity Reporting process in a regulated financial services firm. Training Duration This course may take up to one (1) hour to complete. Keep in mind, however, that actual study time varies based on each learner's training pace. Who Should Enrol? This course is addressed to MLRO/MLCO, as well as compliance and/or AML managers in banks, investment firms, investment funds, ASPs, trust service corporate providers, and lawyers. Training Method The course is offered online using a self-paced approach. The learning units consist of video presentations and reading material. Learners may start, stop, and resume their training at any time. At the end of the training, participants take a quiz to complete their learning and earn a Certificate of Completion. Accreditation and CPD Recognition The syllabus is verified by external subject matter experts and can be accredited by regulators and other bodies for one (1) CPD unit that approve education in financial regulation. The course may be also approved for CPD units by institutions that approve general financial training such as CISI and ACAMS. Eligibility criteria and CPD units are verified directly by your association, regulator, or other any other body for which you hold membership. Registration and Access To register for this course, click on the button above to pay online and receive instant access. If you are purchasing this course on behalf of others, please be advised that you will need to create or use their personal profile before finalising your payment. Access to the course is valid for 180 days. If you wish to receive an invoice instead of paying online, please email us at info@lgca.uk. Also, please get in touch if you'd like to discuss special corporate group rates.

The aim of this self-paced eLearning course is to equip financial professionals, leaders, and compliance professionals with a comprehensive understanding of compliance culture in financial services. Participants will gain insights into the critical components of compliance culture, regulatory perspectives, assessment methodologies, and practical strategies for fostering and sustaining a robust compliance culture within their organizations. By completing this self-paced eLearning course, participants will be well-prepared to navigate the complex landscape of compliance culture in financial services and contribute to the development of a culture aligned with ethical principles and regulatory requirements.

Anti-bribery and anti-corruption legislation globally has existed for some time, though enforcement is becoming more aggressive. There is heightened regulatory focus on how insurers obtain and retain business within emerging markets where bribery and corruption is prolific. Group rates available! Contact us here Description This course provides an overview of the UK Bribery Act 2010 and how it applies to businesses and organizations. The course covers a variety of topics, including: The definition of bribery and corruption The different types of bribery and corruption The penalties for bribery and corruption The steps that businesses can take to prevent bribery and corruption Training Duration This course may take up to 2 hours to be completed. However, actual study time differs as each learner uses their own training pace. Training Method The course is offered fully online using a self-paced approach. The learning units consist of reading material. Learners may start, stop and resume their training at any time. At the end of each session, participants take a Quiz to complete their learning unit and earn a Certificate of Completion upon completion of all units. Accreditation and CPD Recognition This programme has been developed by the London Governance and Compliance Academy (LGCA), a UK-recognised training institution. The syllabus is verified by external subject matter experts and can be accredited by regulators and other bodies for 2 CPD Units that approve education in financial regulation, such as the FCA. The course may be also approved for CPD Units by institutions which approve general financial training, such as the CISI. Eligibility criteria and CPD Units are verified directly by your association, regulator or other bodies which you hold membership. Registration and Access To register to this course, click on the Get this course button to pay online and receive your access instantly. If you are purchasing this course on behalf of others, please be advised that you will need to create or use their personal profile before finalising your payment. If you wish to receive an invoice instead of paying online, please contact us at info@lgca.uk.

Description A short online e-learning primer aimed as an introductory overview for those encountering Client Money and Client Assets for the first time, and for those working in firms that do not hold or control client money or safe custody assets as part of their business. Training Duration This course may take up to 2 hours to be completed. However, actual study time differs as each learner uses their own training pace. Training Method The course is offered fully online using a self-paced approach. The learning units consist of reading material. Learners may start, stop and resume their training at any time. At the end of each session, participants take a Quiz to complete their learning unit and earn a Certificate of Completion upon completion of all units. Accreditation and CPD Recognition This programme has been developed by the London Governance and Compliance Academy (LGCA), a UK-recognised training institution. The syllabus is verified by external subject matter experts and can be accredited by regulators and other bodies for 2 CPD Units that approve education in financial regulation, such as the FCA. The course may be also approved for CPD Units by institutions which approve general financial training, such as the CISI. Eligibility criteria and CPD Units are verified directly by your association, regulator or other bodies which you hold membership. Registration and Access To register to this course, click on the Get this course button to pay online and receive your access instantly. If you are purchasing this course on behalf of others, please be advised that you will need to create or use their personal profile before finalising your payment. If you wish to receive an invoice instead of paying online, please contact us at info@lgca.uk. Access to the course is valid for 365 days.

This course looks at the key rules and requirements to issue complaint financial promotions and maintain appropriate oversight and control of your financial promotion process. Learning objectives When you have completed all of the activities in this course, you should be able to: explain what a financial promotion is summarise the main regulatory requirements relating to financial promotions identify the elements of a compliant financial promotion recognise some of the danger points in an online financial promotion describe the record keeping requirements for financial promotions.

Description Of the many vulnerabilities and threats to the financial services sector, financial crime risk has emerged as a pervasive, yet widely misunderstood category of risk. As consumers, governments, and the financial industry have gained familiarity with various forms of financial crime, financial services organizations have seen that the underlying risk of financial crimes not only includes the direct action taken by criminals, but also includes the impact of deterrence, detection, and resolution on the organization and its customers. Financial services organizations have the difficult task of effectively identifying the greatest risks to themselves and to their customers, protecting both parties against unnecessary risks and satisfying regulatory requirements for greater transparency, awareness, and consolidation of information across the organization. This interactive and engaging programme aims to help participants understand the financial crime regulatory framework; and develop a comprehension on the management of financial crime risks. Training Duration This course may take up to 2 hours to be completed. However, actual study time differs as each learner uses their own training pace. Participants This course is ideal for anyone wishing to know more about Financial Crime Risk Management, and the regulatory requirements for investment firms, insurance and banking institutions. It is also suitable to professionals pursuing regulatory CPD in Financial Regulation (such as the FCA etc). It will be particularly suitable to: • Compliance professionals • Consultants • Corporate executives (including CEOs and CFOs) • Senior managers • Risk executives • Directors • MLROs Training Method The course is offered fully online using a self-paced approach. The learning units consist of reading material. Learners may start, stop and resume their training at any time. At the end of each session, participants take a Quiz to complete their learning unit and earn a Certificate of Completion upon completion of all units. Accreditation and CPD Recognition This programme has been developed by the London Governance and Compliance Academy (LGCA), a UK-recognised training institution. The syllabus is verified by external subject matter experts and can be accredited by regulators and other bodies for 2 CPD Units that approve education in financial regulation, such as the FCA and other financial regulators. The course may be also approved for up to 2 CPD Units by institutions that approve general financial training, such as the CISI. Eligibility criteria and CPD Units are verified directly by your association or other bodies in which you hold membership. Registration and Access To register to this course, click on the Get this course button to pay online and receive your access instantly. If you are purchasing this course on behalf of others, please be advised that you will need to create or use their personal profile before finalising your payment. If you wish to receive an invoice instead of paying online, please contact us at info@lgca.uk. Access to the course is valid for 365 days.

Description This course offers a brief overview of MiFID II. It addresses the changes to the market structure under MiFID and MiFID II, and provides a sound grounding to the MiFID II provisions. Training Duration This course may take up to 2 hours to be completed. However, actual study time differs as each learner uses their own training pace. Participants This course is ideal for anyone wishing to be introduced to the MiFID II and the respective regulatory provisions. It is also suitable to professionals pursuing regulatory CPD in Financial Regulation. Training Method The course is offered fully online using a self-paced approach. The learning units consist of video presentations and reading material. Learners may start, stop and resume their training at any time. At the end of the training, participants take a Quiz to complete their learning and earn a Certificate of Completion. Accreditation and CPD Recognition This programme has been developed by the London Governance and Compliance Academy (LGCA), a UK-recognised training institution in collaboration with the European Institute of Management and Finance (EIMF). The syllabus is verified by external subject matter experts and can be accredited by regulators and other bodies for 2 CPD Units that approve education in financial regulation, such as the FCA. The course may be also approved for CPD Units by institutions which approve general financial training, such as the CISI. Eligibility criteria and CPD Units are verified directly by your association, regulator or other bodies which you hold membership. Registration and Access To register to this course, click on the Get this course button to pay online and receive your access instantly. If you are purchasing this course on behalf of others, please be advised that you will need to create or use their personal profile before finalising your payment. If you wish to receive an invoice instead of paying online, please contact us at info@lgca.uk. Access to the course is valid for 365 days.