3048 Courses delivered On Demand

Description This Complaints Handling course is suitable for any member of a team aiming to understand how to properly handle complaints in financial services sector. In particular, this course will prepare you to: Recognise complaints and the importance of dealing with them appropriately. Understand how your organisation may receive complaints. Know the procedure for handling complaints. Follow the rules and etiquette for handling complaints. Understand the role of the Financial Ombudsman Service (FOS).

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 This course offers a comprehensive review of business ethics and its importance in today's businesses and professionals. The course covers ethical dilemmas and decisions, fair process leadership and considers all aspects from a practical perspective, as it presents a few case studies for analysis. Learning Objectives • Define ethics • Explain a major benefit of a company behaving ethically • Describe the two ethical relationships that an employee has with a company • Describe some of your ethical responsibilities as an employee within a company • Describe some of your responsibilities to act ethically when representing a company 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 interested to enhancing their ethics and integrity, either individually or as part of an organisational process. 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.

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.

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.

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.

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.

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

Description The Senior Managers and Certification Regime (SM&CR) is a regulatory framework introduced by the Financial Conduct Authority (FCA) in 2016. The SM&CR aims to improve the culture of responsibility in financial services firms by increasing the accountability of senior managers. 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.