67387 Courses

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.

Course Overview SFTR is a major regulatory reporting requirement for anyone transacting repo and other securities financing transactions in the EU, no matter how limited their activity. In order to meet the regulator's demand for complete, accurate and timely data, firms are devoting considerable resources to the speedy remediation of rejected or unreconciled reports. Description This self-paced online course will offer delegates a grasp of what is required by SFTR in the EU and UK but will also provide a practical insight by looking at specific reporting rules and key data fields. Training Objectives By the end of the course, delegates should be able to: • Identify what trading activities are covered by SFTR, who has to report and by when; • Outline the role of trade repositories and recognise the reports sent to and sent out by these entities; • Distinguish the types of record to be sent to trade repositories and know in what order they should be sent; • Select and describe the data fields required for generic SFT structures, whether collateralized at transaction or portfolio level; • Complete a basic calculation of the estimated re-use of collateral. They should also: • Be aware of some of the practical issues that have arisen in reporting; • Know where to look for further guidance. Training Outline • Background which has brought the SFTR • What is Shadow Banking and how is it related to SFTR • Purpose of SFTR and key requirements for reporting parties • What SFTR covers: repos, securities/commodities lending, margin lending • Who is subject to SFTR, including mandatory delegation and branches • The role of trade repositories: who they are; what they do (validation and recon-ciliation); what you send them and what they send back and to others • Types of report (Action Types) and sequencing • Reporting deadlines. • Data sets, matching fields, cardinality rules (mandatory, conditional or optional) and conditionality links between fields • Counterparty data • Loan data: type, UTI, level of reporting, legal data, term, rate • Collateral data: type; level of reporting; classifications • CCP-cleared SFTs and margins • Collateral re-use reports: actual and estimated • Practical examples provided by ESMA Training Duration This course may take up to 3 hours to be completed. However, actual study time differs as each learner uses their own training pace. Participants This course is suitable for any professional involved with SFTR. Delegates would benefit from a familiarity with repos, securities lending and margin lending but this is not essential. The course is offered fully online using a self-paced approach. The learning units are based on reading material. Learners may start, stop and resume their training at any time. Accreditation and CPD Recognition This programme has been developed by the European Institute of Management and Finance (EIMF), a globally-recognised training institution. The syllabus is verified by external subject matter experts and can be accredited by regulators and other bodies for 3 CPD Units that require CPD training in financial regulation. 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. Access to the course is valid for 365 days. If you wish to receive an invoice instead of paying online, please Contact us here. Talk to us for our special Corporate Group rates.

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 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.

Compliance involves the efforts and programs of an organization to ensure that the business complies with government and industry regulations. If your organization is subject to a compliance scheme, it means your business is bound, by contract or law, to follow rules set by external bodies. Description This course provides an introduction to the principles of compliance and how they apply to FCA-regulated businesses and organizations. 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 1 CPD Unit 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.

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.

Market abuse may arise in circumstances where financial market investors have been unreasonably disadvantaged, directly or indirectly, by others who: have used information which is not publicly available. Description An online e-learning course to enable those working in FCA-regulated firms to recognise Market Abuse, including insider dealing and market manipulation, and make them aware of the requirements of the FCA. 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 explores what to consider when building a compliant Compliance Monitoring programme and how to effectively deliver reports. It considers the FCA's requirements and expectations around the monitoring and testing undertaken by UK authorised firms.

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.