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FCA Compliance Essentials

FCA Compliance Essentials

By LGCA | London Governance and Compliance Academy

5.0(4)
  • 30 Day Money Back Guarantee
  • Completion Certificate
  • 24/7 Technical Support

Highlights

  • On-Demand course

Description

Begin your journey in compliance management with practical knowledge of the laws and legislations that make up the regulatory field in the United Kingdom.

Do you know that FCA sets an annual CPD requirement both for senior managers and employees of financial service firms?

As per TC 2.1.15 & 2.1.16, the requirement is 35 hours in each 12 months, including 21 hours of structured CPD activities.

Furthermore, TC 2.1.20G27/05/2022 defines structures CPD activities as follows:

“Examples of structured continuing professional development activities include participating in courses, seminars, lectures, conferences, workshops, web-based seminars or e-learning.”

Our FCA Compliance Essentials Bundle, fulfilling and even exceeding the FCA requirement in terms of CPD hours, is ideal for any professional within Financial Services.

Study method

Online, self-paced

Course format

Video with subtitles

Duration

40 hours

Qualification

No formal qualification

CPD

40 CPD hours / points

Certificates

Certificate of Completion - Free

Description

LGCA's FCA Compliance Essentials eLearning library currently includes the following courses (new courses are added on a regular basis):

  1. AML Risk Assessment

  1. AML Suspicious Activity Reports and Suspicious Transaction Reports (SAR/STRs)

  1. Anti-Bribery and Corruption

  1. Anti-Money Laundering and Counter Terrorist Finance

  1. Approved Persons Regime

  1. Assessing and Managing AML Risks

  1. Building an AML Risk-based Approach

  1. CASS Introduction

  1. Complaints Handling

  1. Compliance Introduction

  1. Compliance Monitoring and Testing

  1. Conduct Rules for All Staff

  1. Conflict of Interest (COI)

  1. Consumer Duty

  1. Establishing and Maintaining a Strong CDD Programme

  1. Ethics, Integrity and Fairness in Financial Services

  1. FCA: the Role and Approach

  1. Financial Promotions Regulation

  1. Fraud Detection and Prevention

  1. GDPR Awareness

  1. Introduction to Cybersecurity

  1. Introduction to Know Your Client (KYC) and Customer Due Diligence (CDD)

  1. Market Abuse (MAR)

  1. Operational Resilience

  1. Senior Managers and Certification Regime

  1. SM&CR – The Conduct Rules

  1. Suspicious Transactions/Activity Reporting

  1. The Value of Customer Due Diligence (CDD)

  1. Treating Customers Fairly

  1. Vulnerable Customer Management

  1. Whistleblowing

  1. Creating a Compliance Culture in Financial Services

Who is this course for?

  • Financial Services Providers

  • Accounting Offices

  • Financial Institutions

  • Brokers

  • Wealth & Fund Managers

  • Investment Firms

  • Insurance Companies

  • Law Firms

  • Compliance Consultants

  • Payment Solutions Providers

  • FinTech & RegTech Companies

  • Fiduciary Services Firms

About The Provider

LGCA | London Governance and Compliance Academy

The London Governance and Compliance Academy (LGCA) is a multi-accredited, UK-based executive education training and certificat...

Read more about LGCA | London Governance and Compliance Academy

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