6972 Compliance courses

Course Overview This course seeks to explain the role the FCA plays in the financial services sector and its position within the overall UK economy. We look at the structure of the regulator and how it is designed to support the objectives allocated to it.

In July 2022, the Financial Conduct Authority, or FCA, published a policy statement, with final rules, on its Consumer Duty initiative. This comprises a new principle, cross-cutting rules, and four outcomes for retail consumers. The Consumer Duty will mean that consumers should receive communications they can understand products and services that meet their needs and offer fair value, and obtain the customer support they need, when they need it. Clarity on the FCA's expectations, and firms' focus on what their customers need, should lead to more flexibility for firms to compete and innovate in the interests of consumers. With firms assessing how they are meeting their customers' needs, the FCA will be able to quickly identify practices that do not deliver the right outcomes for consumers and take action before practices become entrenched as market norms. Regulated firms will have to comply with the Consumer Duty from 31 July 2023, with a delayed implementation of 31 July 2024 for products that are closed or not being sold to new investors.

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.

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.

Unfair, deceptive, or abusive acts and practices (UDAAPs) can cause significant financial injury to consumers, erode consumer confidence, and undermine the financial marketplace. Under the Dodd-Frank Act, it is unlawful for any provider of consumer financial products or services or a service provider to engage in any unfair, deceptive or abusive act or practice. The Act also provides CFPB with rule-making authority and, with respect to entities within its jurisdiction, enforcement authority to prevent unfair, deceptive, or abusive acts or practices in connection with any transaction with a consumer for a consumer financial product or service, or the offering of a consumer financial product or service.2 In addition, CFPB has supervisory authority for detecting and assessing risks to consumers and to markets for consumer financial products and services.

This module provides an overview of the individual Conduct Rules introduced by the Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA) - the UK's financial services regulators - which initially came into effect progressively between 2016 and 2021. The rules are part of the Senior Managers and Certification Regime (SMCR), a package of measures that represent a fundamental change in the way in which individuals working within the UK financial services sector are held to account by the regulators. These Conduct Rules originally applied only to those firms which are 'dual-regulated' by both the PRA and the FCA. The SMCR was extended in December 2019 to apply to staff in all regulated firms. This module is intended for both staff who are subject to certification and to all other staff who are, apart from the Conduct Rules, not otherwise subject to the SMCR. If you are in a senior manager function (SMF) or a non-executive director (NED), this module does not address all of your Conduct Rule Obligations. You are encouraged to work through the LGCA's Conduct Rules for Senior Manager Professional course instead.

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Course Summary: This workshop aims to increase awareness of Safeguarding and Protecting Children, helping coaches to recognise signs of abuse and poor practice, and deal sensitively and effectively with issues that arise. It also prompts a review of coaching practice to ensure that sport provides a positive and enriching experience for children. The 3 hour workshop covers the following and learners will be able to: Identify and recognise good coaching practice and the implications for them. Explore their values and feelings in relation to child abuse, and recognise how these may potentially impact on their response. Recognise and respond to the signs and symptoms of child abuse and poor practice. Take appropriate action if concerns about a child arise. If you require a group booking for your staff/volunteers, please select group booking to request a private group session. This option will require a minimum of 8 delegates. If we do not have 8 delegates the course will be rearranged for a later date.  

Give a compliment to your career and take it to the next level. This Health and Safety in a Construction Environment - Route to CSCS Green Card bundle will provide you with the essential knowledge to shine in your professional career. Whether you want to develop skills for your next job or elevate your skills for your next promotion, this Health and Safety in a Construction Environment - Route to CSCS Green Card bundle will help you stay ahead of the pack. Throughout the Health and Safety in a Construction Environment - Route to CSCS Green Card programme, it stresses how to improve your competency as a person in your chosen field while also outlining essential career insights in the relevant job sector. Along with this Health and Safety in a Construction Environment - Route to CSCS Green Card course, you will get 10 premium courses, an originalhardcopy, 11 PDF certificates (Main Course + Additional Courses) Student ID card as gifts. This Health and Safety in a Construction Environment - Route to CSCS Green Card Bundle Consists of the following Premium courses: Course 01: Health and Safety in a Construction Environment - Route to CSCS Green Card Course 02: Construction Site Management Level 4 Course 03: PUWER Course 04: LOLER Training Course 05: Ladder Safety Course 06: Noise and Hearing Protection Training Course 07: HAVS (Hand-Arm Vibration Syndrome) Training Course Course 08: Asbestos Surveyor Training Course 09: COSHH Training and Safety - Level 2 Course 10: DSEAR Training Course 11: Emergency First Aid and Incident Management at Work Enrol now in Health and Safety in a Construction Environment - Route to CSCS Green Card to advance your career, and use the premium study materials from Apex Learning. How will I get my Certificate? After successfully completing the course, you will be able to order your CPD Accredited Certificates (PDF + Hard Copy) as proof of your achievement. PDF Certificate: Free (Previously it was £10 * 11 = £110) Hard Copy Certificate: Free (For The Title Course) PS The delivery charge inside the UK is £3.99, and the international students have to pay £9.99. The bundle incorporates basic to advanced level skills to shed some light on your way and boost your career. Hence, you can strengthen your Health and Safety in a Construction Environment - Route to CSCS Green Card expertise and essential knowledge, which will assist you in reaching your goal. Moreover, you can learn from any place in your own time without travelling for classes. Curriculum of Bundle Course 01: Health and Safety in a Construction Environment - Route to CSCS Green Card Health and Safety in a Construction Environment - Introduction to the Course Introduction to the Health and Safety Protocols at a Construction Site Hazards, Risks, Assessment and Controls Slips, Trips, Falls and Working at Height Manual Handling Plant and Machinery Respiratory Risks Fire, Electricity and Gas Safety Chemical Hazard and Worksite Hygiene Vehicles, PPE and General Safety Course 02: Construction Site Management Level 4 Introduction to Construction Management Project Life Cycle and Success Preliminary Site Investigation & Site Organisation Construction Site Layout Planning and Temporary Facilities Management Site Management Planning & Management of Equipment Construction Materials Management Stock Control Quality Assurance and Customer Care Legal Aspects of Contracting Human Resources Management Risk and Value Management Communications, Information and Documentation of Construction Health and Safety in Construction Management Course 03: PUWER Module 01: Provision and Use of Work Equipment Regulations Module 02: Selection and Conformity of Work Equipment Module 03: Safe Functionality of Work Equipment Module 04: Monitoring and Evaluation of Work Equipment Module 05: Maintenance of Work Equipment Course 04: LOLER Training Module 01: Introduction to LOLER Module 02: Part 01 - Selecting Lifting Equipment and Accessories Module 03: Part 02 - Selecting Lifting Equipment and Accessories Module 04: Planning the Lifting Operation Module 05: Factors Affecting Safe Lifting Operation Module 06: Roles and Responsibilities Module 07: Risk Assessment Module 08: Examination and Inspection Module 09: Reports and Defects Course 05: Ladder Safety Module 01: Introduction to Ladder Safety Module 02: Ladder Classifications and Uses Module 03: Pre-use Safety Inspections and Risk Assessment Module 04: Setting Up and Safe Use of Ladders Module 05: Placement Considerations and Securing a Ladder Course 06: Noise and Hearing Protection Training Module 1: The Concept of Noise and Hearing Protection Module 2: Identify, Assess and Control Noise at Workplace Module 3: Health Effects of Loud Noise Module 4: Safe Hearing Module 5: Noise Control Laws and Legislation Module 6: Hearing Conservation at Workplace Course 07: HAVS (Hand-Arm Vibration Syndrome) Training Course Module 1: Introduction to Hand-arm Vibration and HAVS Module 2: Popular Syndromes Module 3: HAVS Training and Assessment Module 4: Controlling Risks Module 5: Laws and Regulations Course 08: Asbestos Surveyor Training Module 01: What is Asbestos? Module 02: Health Effects of Asbestos Module 03: Asbestos Containing Materials and Their Properties Module 04: Management of Asbestos Module 05: Risk Assessments and Legislative Requirements Module 06: Asbestos Surveying Module 07: Bulk Sampling Procedures and Strategies Module 08: Survey Report, Quality Assurance and Quality Control Module 09: Personal Decontamination Course 09: COSHH Training and Safety - Level 2 COSHH Explained COSHH Regulations Health Problems Related to Hazardous Substances Identifying Hazardous Substances COSHH Risk Assessments Control Measures and Monitoring Implementing Control Measures Course 10: DSEAR Training Introduction to DSEAR ATEX and Explosive Atmospheres General Safety Safe Working with Flammable Substances Equipment and Protection System Risk Assessment Course 11: Emergency First Aid and Incident Management at Work Introduction to Workplace First Aid Legal Framework for Workplace First Aid Incident Management at Work Primary Survey Secondary Survey Basic First-Aid Techniques Dealing with Minor Injuries at the Workplace Secondary Illness Loss of Responsiveness and CPR Secondary Illness Breathing Problems Secondary Illnesses and Injuries Dealing With Fractures and Dislocations Call for an Emergency CPD 110 CPD hours / points Accredited by CPD Quality Standards Who is this course for? Anyone from any background can enrol in this Health and Safety in a Construction Environment - Route to CSCS Green Card bundle. Requirements This Health and Safety in a Construction Environment - Route to CSCS Green Card course has been designed to be fully compatible with tablets and smartphones. Career path Having this expertise will increase the value of your CV and open you up to multiple job sectors. Certificates Certificate of completion Digital certificate - Included Certificate of completion Hard copy certificate - Included P.S. The delivery charge inside the UK is £3.99, and the international students have to pay £9.99.

Level 5 Diploma(FREE QLS Endorsed Certificate)| 11 CPD Courses+11 PDF Certificates| 145 CPD Points|CPD & CiQ Accredited