2841 Accounting & Finance courses near Harrow delivered On Demand

Description The risk-based approach (RBA) is central to the effective implementation of the Financial Action Task Force (FATF) recommendations. This means that supervisors, financial institutions, and intermediaries should be able to identify, assess, and understand the risks related to money laundering and terrorist financing to which they are exposed, and implement the most appropriate mitigation measures. Course Content The course outlines the RBA methodology when assessing risk according to the FATF recommendation. This considers risks related to types of customers, countries or geographic areas, and particular products, services, transactions, or delivery channels. 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 Recognitiond 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.

This course, aimed as an introductory overview for those working in FCA-regulated firms, helps recognise processes of money laundering and terrorism financing, identify laws and regulations making them illegal and specify the responsibilities of employees for their detection and prevention. 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 Conflict of Interest Course (FCA) This course provides staff with an understanding of Conflict of Interest, the laws and regulations that make it illegal, and the responsibilities of employees to help detect and prevent it. This elearning course has been designed to help people understand conflicts of interest using case studies and real-life examples. Learners will be assessed on their knowledge and understanding through a test at the end of the course. A short online e-learning primer aimed as an introductory overview for those working in FCA-regulated firms to enable them to recognise Conflicts of Interest and make them aware of the requirements of the FCA, with particular reference to the AML Obligations and Compliance Legislation. 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. Overview A conflict of interest is a situation in which a person or organisation is involved in multiple interests and where serving any one of those interests could work against another. The Financial Conduct Authority (FCA), in its Conflicts of Interest Policy document (published in January 2019), defines a conflict of interest as follows: 'A conflict of interest arises when your work could be affected by your personal financial matters or a close personal relationship. It could also arise if your work could be affected by a personal interest of your close family or any other close personal relationship with an individual. It becomes significant if any person, internally or externally, might reasonably believe there is a risk of your actions, or those of a personal associate, being inappropriately influenced.' Join this course to get a good understanding of Conflict of Interest and how to identify and manage such cases within your daily job. For any further support please contact us at info@lgca.uk

Course Overview The regulatory position Key Concepts Impact on Firms Governance and Strategy Building an effective and compliant operational resilience program Holistic management considerations Learning Outcome To understand the regulatory drivers and priorities; to consider the factors you should promote to build and embed an inclusive operational resilience framework; to recognise common risks and disruptors tom operational stability and to consider appropriate governance models.

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 For some years, the UK financial regulators have been placing expectations on firms to treat their customers fairly and with plenty of care. This includes vulnerable clients, or those defined by the FCA as individuals 'who, due to their personal circumstances, [are] especially susceptible to detriment, particularly when a firm is not acting with appropriate levels of care.' Throughout this course, you will gain insight into the definition of vulnerable clients and how your company can better cater to this group's needs, preferences, and personalities. More specifically, by the end of this course, you will be able to:  Know how vulnerable customer management started.  Understand what vulnerability means.  Recognise traits of vulnerability.  Demonstrate an awareness of the 4 key pillars of vulnerability and how the UK financial regulators think you can help manage vulnerable customers in your organisation. 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. 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.

The FCA rules relating to Best Execution cover all 'financial instruments'. Firms must establish and implement a Best Execution Policy, setting out details of how Best Execution will be achieved. This course offers a comprehensive introduction to best execution. It addresses the characteristics of best execution and how to achieve it. It provides a solid grounding in order execution policies and client information. It also includes the special provisions and changes to best execution with MiFID II and the monitoring rules. Training Duration This course may take up to 2 hour 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 characteristics of best execution and the respective regulatory environment. It is also suitable to professionals pursuing regulatory CPD in Financial Regulation (such as the FCA etc). Training Method The course is offered fully online using a self-paced approach. The learning units are based on interactive 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. 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 This course provides an introduction to the Senior Managers and Certification Regime (SM&CR) Conduct Rules, which are a set of principles that govern the conduct of senior managers and certification staff in financial services firms. 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 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.

Ethics and compliance training is helpful for encouraging appropriate behavior, setting expectations, demonstrating the organization's commitment, and informing employees of laws or regulatory principles that may not be common knowledge. Description This course will help you to increase your personal ethics and explore your obligations to act with integrity in all aspects of your work and professional relationships. You will also appreciate an Ethical Code of Standards and examine how you can prevent bribery and corruption based on a financial regulatory context. Integrity and scruples not only keep us out of court and out of prison, but they are good for business. One study found that companies making 'an explicit commitment to doing business ethically' have produced profit/turnover ratios at 18% higher than those without a similar commitment. Conversely, a bad reputation can ruin a business - ethics and compliance training is how an organization can avoid that. Training Duration This course may take up to 2.5 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 consider ethics from a financial regulatory perspective. 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 each session, participants take a Quiz to complete their learning unit and earn a Certificate of Completion once all quizzes have been passed successfully. 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.