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Compliance Learning Solution

For Firms and Multiple Users

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Empower Your Employees through Continuous Learning

With LGCA’s Compliance Learning Solution (CLS), you will empower your team with the regulatory, technical, and other fundamental skills, tools, and knowledge to succeed while remaining compliant in the financial services industry. Acquire a fully-branded and fully-manageable COMPLIMENTARY Learning Management System (LMS) with extensive reporting capabilities

Skyrocket Your Learning Process

Our fully remote CLS allows your team members to complete their certifications & courses.

Complete CPD Credits

Your team members can obtain CPD credits & fulfil their regulatory training requirements.

Enjoy Flexible Learning

Study at the comfort of your home or office at any time.

Get the Most out of LMS

Access comprehensive reporting tools to keep track of your team’s training progress and upload your own content

Ready-Made Course Libraries

Our FCA, EU, and global regulatory compliance libraries deliver governance, risk and compliance (GRC) training across key areas such as AML, anti-bribery and corruption, fraud, risk management, data protection, market abuse, international economic sanctions, KYC and CDD, and treating customers fairly, among a host of others.

Training Libraries & Courses

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This course offers a practical overview of Anti-Money Laundering. It begins with a recap on AML fundamentals. It addresses risk management techniques for AML. It provides a sound grounding to transaction monitoring and suspicious transactions reporting as well as it considers the industry specific vulnerabilities in financial services.
This course offers a comprehensive introduction to the Alternative Investment Funds (AIF). It addresses national and EU issues, reflecting the legal and regulatory environment, and provides a sound grounding in the principles of the AIF framework, including authorisation, investor classifications, AIF categories and common rules for fund organisations, managers and custodians.
This course offers a comprehensive introduction to Alternative Investment Funds (AIF) and to Alternative Investment Fund Managers (AIFM) It addresses the various categories and legal forms of AIFs, the relevant legal framework and the rules relating to their operation, as well as the most recent amendment to the AIF Law.
This course offers a comprehensive introduction to AIF, AIFM and UCITS. It addresses the various categories and legal forms of AIFs, the relevant legal framework and the rules relating to their operation, as well as the most recent amendment to the AIF Law.
This course offers a comprehensive introduction to the Alternative Investment Fund Managers (AIFM). It addresses the application of the AIFM Law, the authorisation of AIFMs and the principles relating to their operation.

This course offers an introduction to the key points of the 4th AML Directive and an overview of the proposed amendments that will be implemented with the 5th Directive. It also provides an optional learning unit to briefly examine the role of the Financial Investigation Unit.

This course provides an overview of AML, the measures needed for efficient AML controls, Suspicious Transaction Monitoring, and Suspicious Activity Reporting (SAR) to help delegates understand their obligations to report suspicious activity, when to report suspicious activity, and how to report better quality SARs.

The course is designed to enhance participants’ ability to identify, assess, and mitigate ICT and security risks effectively, ensuring compliance with regulatory standards and contributing to the financial stability and integrity of the Cypriot financial market. 

In this course, you’ll learn all about the scope of DAC6, what kinds of transactions or dealings must be reported, and what you as a company or individual need to do to comply with its requirements.  

Organisational resilience refers to an entity’s capacity to anticipate, adapt, respond, and recover from a wide range of internal and external challenges, disruptions, and shocks while maintaining its core functions, values, and stakeholder relationships.

This course provides an overview of the European Union’s (“EU”) artificial intelligence (“AI”) Act (the “EU AI Act”), a landmark legislative initiative designed to govern the development and deployment of AI technologies within the EU. Recognizing the transformative potential of AI and the need for responsible and ethical use, the EU AI Act aims to establish a comprehensive regulatory framework.

This course provides a comprehensive overview of European investment funds, focusing on their structure, regulation, and emerging trends. Participants will gain an in-depth understanding of UCITS and AIFs, exploring their operational frameworks and key regulatory directives such as AIFMD, SFDR, and MiFID II.

This course offers a condensed review of the financial services sector, with a specific focus on equities, stocks, bonds, derivatives and other financial products. 

This course gives you the practical skills and essential knowledge to recognise, prevent, and respond to fraud in EU-regulated financial services firms. You’ll explore real-world scenarios, the latest EU regulations, and effective strategies to protect your organisation and your clients.

This course offers a general review of the financial services sector, with a specific focus on investments from a global perspective. The focus of the course is on international markets and covers key financial principles and products in depth including assets and markets, equities, bonds, derivatives (CFDs, Forex etc) and investment funds.

This course provides an introduction to KYC and CDD procedures, both key tools in assessing customer risk and a legal requirement to comply with Anti-Money Laundering (AML) and Counter-Terrorist Financing (CFT) laws.
As these digital assets gain popularity and recognition as viable investment vehicles, the need for regulatory oversight becomes increasingly evident. The market in crypto-assets presents unique challenges and opportunities that traditional regulatory frameworks may struggle to address adequately. The regulation of crypto-assets is a multifaceted endeavour that encompasses various aspects, including investor protection, financial stability, anti-money laundering (AML), and combating the financing of terrorism (CFT).
The course is designed to provide a thorough examination of recent developments in the MiFID II regulatory framework, specifically focusing on four key elements. Participants will gain insights into the European Securities and Markets Authority’s (ESMA) Final Report on retail investor protection, the proposed directive addressing retail investor protection, product governance requirements guidelines, and the MiFID II remuneration requirements.
This course on MiFID II (Markets in Financial Instruments Directive) provides a comprehensive overview of the regulatory framework governing financial markets in the European Union. MiFID II, implemented in January 2018, has brought significant changes to the financial industry, impacting how investment services and activities are conducted.
MiFID II/MiFIR which came into effect on 3 January 2018, is a new legislative framework which aims to strengthen investor protection and improve the functioning of financial markets making them more efficient, resilient and transparent. MiFID II and MiFIR introduced new provisions to enhance controls around the prevention of market abuse and to increase transparency in markets.
Solvency II defines by how much an insurer’s assets should exceed its liabilities, under an expected and a stressed scenario, and so is fundamental to the business and the business model.
This course offers a comprehensive introduction to AIF, AIFM, AIFMD, and UCITS. It addresses the various categories and legal forms of AIFs, the relevant legal framework and the rules relating to their operation, as well as the most recent amendment to the AIF Law.
This course offers a comprehensive introduction to the Undertakings for Collective Investments in Transferable Securities (UCITS). It addresses the national and EU environment, reflecting to the historical background of UCITS and their current stats in numbers. It provides a solid grounding in the general environment and industry players of funds.
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.  
Edit Content
This course offers a practical overview of Anti-Money Laundering. It begins with a recap on AML fundamentals. It addresses risk management techniques for AML. It provides a sound grounding to transaction monitoring and suspicious transactions reporting as well as it considers the industry specific vulnerabilities in financial services.
This course offers a comprehensive introduction to the Alternative Investment Funds (AIF). It addresses national and EU issues, reflecting the legal and regulatory environment, and provides a sound grounding in the principles of the AIF framework, including authorisation, investor classifications, AIF categories and common rules for fund organisations, managers and custodians.
This course offers a comprehensive introduction to Alternative Investment Funds (AIF) and to Alternative Investment Fund Managers (AIFM) It addresses the various categories and legal forms of AIFs, the relevant legal framework and the rules relating to their operation, as well as the most recent amendment to the AIF Law.
This course offers a comprehensive introduction to AIF, AIFM and UCITS. It addresses the various categories and legal forms of AIFs, the relevant legal framework and the rules relating to their operation, as well as the most recent amendment to the AIF Law.
This course offers a comprehensive introduction to the Alternative Investment Fund Managers (AIFM). It addresses the application of the AIFM Law, the authorisation of AIFMs and the principles relating to their operation.

This course offers an introduction to the key points of the 4th AML Directive and an overview of the proposed amendments that will be implemented with the 5th Directive. It also provides an optional learning unit to briefly examine the role of the Financial Investigation Unit.

This course provides an overview of AML, the measures needed for efficient AML controls, Suspicious Transaction Monitoring, and Suspicious Activity Reporting (SAR) to help delegates understand their obligations to report suspicious activity, when to report suspicious activity, and how to report better quality SARs.

The course is designed to enhance participants’ ability to identify, assess, and mitigate ICT and security risks effectively, ensuring compliance with regulatory standards and contributing to the financial stability and integrity of the Cypriot financial market. 

In this course, you’ll learn all about the scope of DAC6, what kinds of transactions or dealings must be reported, and what you as a company or individual need to do to comply with its requirements.  

Organisational resilience refers to an entity’s capacity to anticipate, adapt, respond, and recover from a wide range of internal and external challenges, disruptions, and shocks while maintaining its core functions, values, and stakeholder relationships.

This course provides an overview of the European Union’s (“EU”) artificial intelligence (“AI”) Act (the “EU AI Act”), a landmark legislative initiative designed to govern the development and deployment of AI technologies within the EU. Recognizing the transformative potential of AI and the need for responsible and ethical use, the EU AI Act aims to establish a comprehensive regulatory framework.

This course provides a comprehensive overview of European investment funds, focusing on their structure, regulation, and emerging trends. Participants will gain an in-depth understanding of UCITS and AIFs, exploring their operational frameworks and key regulatory directives such as AIFMD, SFDR, and MiFID II.

This course offers a condensed review of the financial services sector, with a specific focus on equities, stocks, bonds, derivatives and other financial products. 

This course gives you the practical skills and essential knowledge to recognise, prevent, and respond to fraud in EU-regulated financial services firms. You’ll explore real-world scenarios, the latest EU regulations, and effective strategies to protect your organisation and your clients.

This course offers a general review of the financial services sector, with a specific focus on investments from a global perspective. The focus of the course is on international markets and covers key financial principles and products in depth including assets and markets, equities, bonds, derivatives (CFDs, Forex etc) and investment funds.

This course provides an introduction to KYC and CDD procedures, both key tools in assessing customer risk and a legal requirement to comply with Anti-Money Laundering (AML) and Counter-Terrorist Financing (CFT) laws.
As these digital assets gain popularity and recognition as viable investment vehicles, the need for regulatory oversight becomes increasingly evident. The market in crypto-assets presents unique challenges and opportunities that traditional regulatory frameworks may struggle to address adequately. The regulation of crypto-assets is a multifaceted endeavour that encompasses various aspects, including investor protection, financial stability, anti-money laundering (AML), and combating the financing of terrorism (CFT).
The course is designed to provide a thorough examination of recent developments in the MiFID II regulatory framework, specifically focusing on four key elements. Participants will gain insights into the European Securities and Markets Authority’s (ESMA) Final Report on retail investor protection, the proposed directive addressing retail investor protection, product governance requirements guidelines, and the MiFID II remuneration requirements.
This course on MiFID II (Markets in Financial Instruments Directive) provides a comprehensive overview of the regulatory framework governing financial markets in the European Union. MiFID II, implemented in January 2018, has brought significant changes to the financial industry, impacting how investment services and activities are conducted.
MiFID II/MiFIR which came into effect on 3 January 2018, is a new legislative framework which aims to strengthen investor protection and improve the functioning of financial markets making them more efficient, resilient and transparent. MiFID II and MiFIR introduced new provisions to enhance controls around the prevention of market abuse and to increase transparency in markets.
Solvency II defines by how much an insurer’s assets should exceed its liabilities, under an expected and a stressed scenario, and so is fundamental to the business and the business model.
This course offers a comprehensive introduction to AIF, AIFM, AIFMD, and UCITS. It addresses the various categories and legal forms of AIFs, the relevant legal framework and the rules relating to their operation, as well as the most recent amendment to the AIF Law.
This course offers a comprehensive introduction to the Undertakings for Collective Investments in Transferable Securities (UCITS). It addresses the national and EU environment, reflecting to the historical background of UCITS and their current stats in numbers. It provides a solid grounding in the general environment and industry players of funds.
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.  
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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.

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.

An online e-learning primer aimed as an introductory overview for those working in FCA-regulated firms to enable them to understand the Conduct Rules within the Senior Managers and Certification Regime, and make them aware of the requirements of the FCA.

An online e-learning course aimed as an introductory overview for those working in FCA authorised firms to enable them to understand the Senior Managers and Certification Regime and make them aware of the requirements of the FCA.

The UK Money Markets Code was one of the first industry codes to be recognised by the Financial Conduct Authority (FCA). It sets out the standards and best practice expected from participants in the deposit, repo and securities lending markets in the UK. The Code is endorsed by the Money Markets Committee (MMC), comprised of market participants from a wide range of banks, other financial and non-financial institutions, and chaired by representatives of the Bank of England (BoE). This module outlines the contents of the Code and who it applies to.

This course provides a comprehensive overview of the Conduct of Business Sourcebook (COBS) rules and their application in financial services. Learners will explore key principles such as acting in clients’ best interests, understanding client categorisation, and ensuring clear, fair, and non-misleading communication.

A short online e-learning primer for those working in financial services firms explaining the rules on whistleblowing and when it may be appropriate to make a disclosure (‘blow the whistle’), if a firm or individual is involved in wrongdoing.

This course covers the FCA proposed rules in respect of Diversity and Inclusion (D&I) and Non-Financial Misconduct (NFM).

*NOTICE: THIS COURSE IS FOR SMALL AND MEDIUM-SIZE FIRMS (UP TO 250 EMPLOYEES) ONLY. LGCA CARRIES A SEPARATE COURSE FOR LARGER FIRMS.

The course covers the FCA proposed rules in respect of Diversity and Inclusion (D&I) and Non-Financial Misconduct (NFM). Implement best practices to prevent and address non-financial misconduct.

Given its role and importance to any functioning modern economy, ‘trust’ is an essential ingredient between providers of financial services, its clients and even wider society. Culture, conduct and ethics are words which have come to pepper the regulatory lexicon.

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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.

This course provides staff with an understanding of the process of money laundering, the laws and regulations that make it illegal, and the responsibilities of employees to help detect and prevent it.

Anti-bribery and anti-corruption legislation globally has existed for some time, though enforcement is becoming more aggressive. There is heightened regulatory focus on how insurers obtain and retain business within emerging markets where bribery and corruption is prolific.

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.

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.

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.

Approved Persons Regime awareness course for all members of firms NOT subject to the Senior Managers & Certification Regime (SM&CR) which came into effect on 7 March 2016, applying to banks, building societies, credit unions and investment firms that are subject to dual regulation by the Prudential Regulation Authority (PRA) and Financial Conduct Authority (FCA). Please note that, if your firm is currently regulated solely by the FCA under the Approved Persons Regime, this will be replaced by SM&CR in 2019 (or December 2018 for insurers).

This Treating Customers Fairly (“TCF”) course for all members of a firm helps them show the FCA that fair treatment of customers is at the heart of their business model.

This Complaints Handling course is suitable for any member of a team aiming to understand how to properly handle complaints in financial services sector.

The course provides understanding of the regulatory drivers and priorities; considers the factors you should promote to build and embed an inclusive operational resilience framework; enables you to recognise common risks and disruptors to operational stability and consider appropriate governance models.

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This course outlines the need for combating ML risks and other financial crimes. Financial institutions must be able to respond to threads on a contextual basis to balance efficiency and cost needs with compliance obligations.

Risk assessment enables financial institutions to focus on their AML/CFT efforts and adopt appropriate measures to allocate the necessary resources in an optimal way. Based on the assessments conducted, the financial institutions should have controls, policies, and procedures that allow them to effectively manage and mitigate the risks identified.

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.

A key concern and significant risk for financial institutions is the possibility of unknowingly becoming complicit in money laundering, whereby illegitimate money is moved into legitimate institutions. To mitigate such risk, financial institutions have strengthened their internal control systems by increasingly making use of Know Your Consumer (KYC) and Customer Due Diligence (CDD) requirements as part of their anti-money laundering (AML) strategies.

KYC/CDD is a critical element for effectively managing the risks posed by potential clients thus protecting the organization against criminals, terrorists, and Politically Exposed Persons (PEPs) who might present a higher risk, and possible dubious actions by existing customers that need to be regularly reassessed. This course provides an introduction to KYC and CDD procedures, both key tools in assessing customer risk and a legal requirement to comply with Anti-Money Laundering (AML) and Counter-Terrorist Financing (CFT) laws.

This course outlines provides a brief overview of Suspicious Transactions / Activity Reporting process in a regulated financial services firm.

This course outlines basic CDD procedures requires to assess customer risk and a legal requirement to comply with Anti-Money Laundering (AML) and Counter-Terrorist Financing (CFT) laws. Effective CDD involves ongoing monitoring of customers’ business activities, identifying and mitigating the AML/CFT risk a business relationship may pose to a regulated entity.

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.

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.

This self-paced online course provides an overview of AML, the measures needed for efficient AML controls, Suspicious Transaction Monitoring, and Suspicious Activity Reporting (SAR) to help learners understand their obligations to report suspicious activity, when to report suspicious activity, and how to report better quality SARs.

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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.

A short online e-learning primer aimed as an introductory overview for those encountering Client Money and Client Assets for the first time, and for those working in firms that do not hold or control client money or safe custody assets as part of their business.

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.

The ICARA Process requirement is deriving from the provisions of the new prudential package (Investment Firms Regulation and Directive) introduced by the European Commission. The aim of this course is to provide a comprehensive understanding of the ICARA process methodologies and requirements, as well as its implications for Investment Firms operating within the European Union.

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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.

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.

Prudential regulation is essential for firms operating within the financial services sector. It serves as a cornerstone of the ethical and moral framework that supports stable and healthy financial systems. A lack of prudence in financial decision-making can lead to significant economic disruptions. Prudence involves exercising caution when making financial decisions or allocating resources, aiming to minimize unnecessary risks. In the realm of accounting, prudence dictates that companies should avoid overstating their assets and profits, as well as understating their losses in financial reports.Our Prudential Regulation Training Course provides a comprehensive overview of the prudential standards that govern financial services firms in the UK.

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IT Security is one of the most sought-after subjects due to the constant development of new technologies and the increasing number of cyber threats. Gain essential IT security knowledge and skills, to help protect your digital life.

This course is designed to give all employees of a firm an understanding of what GDPR is intended to achieve, how it aims to empower individuals, and how it impacts firms and the roles of their employees.

Our Packages
Prime Plus
Prime
Opti 20
Opti 10
Opti 5
Flex
FCA Compliance Library
Y
Y
Up to 20 courses per user annually
Up to 10 courses per user annually
Up to 5 courses per user annually
Pick & choose
EU Regulations Library
Y
N
N
N
N
Pick & choose
Branded LMS
Y
Y
Y
Y
Y
N
Admins
Unlimited
Unlimited
2
1
1
None
E-mail Support
24/5
24/5
24/5
24/5
24/5
08:00-17:00 [UK Time]
For Pricing Information Contact Us

Ready-Made Course Libraries

Our FCA, EU, and global regulatory compliance libraries deliver governance, risk and compliance (GRC) training across key areas such as AML, anti-bribery and corruption, fraud, risk management, data protection, market abuse, international economic sanctions, KYC and CDD, and treating customers fairly, among a host of others.

Our ready-made training solutions are perfectly suited 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
LGCA Compliance Learning Solution

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Expert Content

All of our content has been prepared by subject matter experts who are actively involved in the financial markets as academics, consultants, lawyers, or service providers. These experts work alongside LGCA’s educational design team to develop courses that are up-to-date, deliver the knowledge and skills required by both clients and regulators, and adapt themselves well to adult learners and their different learning styles.

Additionally, all of our content is fully customisable. For instance, you can incorporate slides of your own and edit the standard text to better suit your needs. We believe being flexible will help you offer a stronger, more valuable, and concise learning experience to your team members.

Benefits of LGCA's Complimentary LMS

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User-Friendly

A user-friendly dashboard that gets the job done without any unnecessary bells & whistles.

Tools & Reports

Excellent tool to keep track of your team’s training & their fulfilment of your industry’s regulatory & internal requirements.

Compliance Libraries

Access to our FCA & EU compliance libraries with 75+ classes, plus six AGRC certificates & more than 300 soft skills courses.

Train Your Staff

Ideal to train your staff on GRC issues of interest & relevance.

Unlimited Admin Roles

No minimum or maximum on the total number of users & administrators.

Service & Support

24/5 customer service & student support.

Upload Your Own Courses

Ability to add your own SCORM files & internal training courses offered by third-party providers.

Match Your Logo

Fully branded to incorporate your organisation’s logo.

Training Courses

IT Security is one of the most sought-after subjects due to the constant development of new technologies and the increasing number of cyber threats. Gain essential IT security knowledge and skills, to help protect your digital life.

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.

Approved Persons Regime awareness course for all members of firms NOT subject to the Senior Managers & Certification Regime (SM&CR) which came into effect on 7 March 2016, applying to banks, building societies, credit unions and investment firms that are subject to dual regulation by the Prudential Regulation Authority (PRA) and Financial Conduct Authority (FCA). Please note that, if your firm is currently regulated solely by the FCA under the Approved Persons Regime, this will be replaced by SM&CR in 2019 (or December 2018 for insurers).

Risk assessment enables financial institutions to focus on their AML/CFT efforts and adopt appropriate measures to allocate the necessary resources in an optimal way. Based on the assessments conducted, the financial institutions should have controls, policies, and procedures that allow them to effectively manage and mitigate the risks identified.

This course outlines the need for combating ML risks and other financial crimes. Financial institutions must be able to respond to threads on a contextual basis to balance efficiency and cost needs with compliance obligations.

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.

KYC/CDD is a critical element for effectively managing the risks posed by potential clients thus protecting the organization against criminals, terrorists, and Politically Exposed Persons (PEPs) who might present a higher risk, and possible dubious actions by existing customers that need to be regularly reassessed. This course provides an introduction to KYC and CDD procedures, both key tools in assessing customer risk and a legal requirement to comply with Anti-Money Laundering (AML) and Counter-Terrorist Financing (CFT) laws.

A key concern and significant risk for financial institutions is the possibility of unknowingly becoming complicit in money laundering, whereby illegitimate money is moved into legitimate institutions. To mitigate such risk, financial institutions have strengthened their internal control systems by increasingly making use of Know Your Consumer (KYC) and Customer Due Diligence (CDD) requirements as part of their anti-money laundering (AML) strategies.

This course outlines basic CDD procedures requires to assess customer risk and a legal requirement to comply with Anti-Money Laundering (AML) and Counter-Terrorist Financing (CFT) laws. Effective CDD involves ongoing monitoring of customers’ business activities, identifying and mitigating the AML/CFT risk a business relationship may pose to a regulated entity.

This course outlines provides a brief overview of Suspicious Transactions / Activity Reporting process in a regulated financial services firm.

The course provides understanding of the regulatory drivers and priorities; considers the factors you should promote to build and embed an inclusive operational resilience framework; enables you to recognise common risks and disruptors to operational stability and consider appropriate governance models.

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.

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.

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.

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.

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.

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.

Prudential regulation is essential for firms operating within the financial services sector. It serves as a cornerstone of the ethical and moral framework that supports stable and healthy financial systems. A lack of prudence in financial decision-making can lead to significant economic disruptions. Prudence involves exercising caution when making financial decisions or allocating resources, aiming to minimize unnecessary risks. In the realm of accounting, prudence dictates that companies should avoid overstating their assets and profits, as well as understating their losses in financial reports.Our Prudential Regulation Training Course provides a comprehensive overview of the prudential standards that govern financial services firms in the UK.

A short online e-learning primer aimed as an introductory overview for those encountering Client Money and Client Assets for the first time, and for those working in firms that do not hold or control client money or safe custody assets as part of their business.

This Treating Customers Fairly (“TCF”) course for all members of a firm helps them show the FCA that fair treatment of customers is at the heart of their business model.

This course provides staff with an understanding of the process of money laundering, the laws and regulations that make it illegal, and the responsibilities of employees to help detect and prevent it.

Anti-bribery and anti-corruption legislation globally has existed for some time, though enforcement is becoming more aggressive. There is heightened regulatory focus on how insurers obtain and retain business within emerging markets where bribery and corruption is prolific.

A short online e-learning primer for those working in financial services firms explaining the rules on whistleblowing and when it may be appropriate to make a disclosure (‘blow the whistle’), if a firm or individual is involved in wrongdoing.

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.

This course is designed to give all employees of a firm an understanding of what GDPR is intended to achieve, how it aims to empower individuals, and how it impacts firms and the roles of their employees.

This self-paced online course provides an overview of AML, the measures needed for efficient AML controls, Suspicious Transaction Monitoring, and Suspicious Activity Reporting (SAR) to help learners understand their obligations to report suspicious activity, when to report suspicious activity, and how to report better quality SARs.

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.

This Complaints Handling course is suitable for any member of a team aiming to understand how to properly handle complaints in financial services sector.

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.

An online e-learning primer aimed as an introductory overview for those working in FCA-regulated firms to enable them to understand the Conduct Rules within the Senior Managers and Certification Regime, and make them aware of the requirements of the FCA.

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.

An online e-learning course aimed as an introductory overview for those working in FCA authorised firms to enable them to understand the Senior Managers and Certification Regime and make them aware of the requirements of the FCA.

The ICARA Process requirement is deriving from the provisions of the new prudential package (Investment Firms Regulation and Directive) introduced by the European Commission. The aim of this course is to provide a comprehensive understanding of the ICARA process methodologies and requirements, as well as its implications for Investment Firms operating within the European Union.

The UK Money Markets Code was one of the first industry codes to be recognised by the Financial Conduct Authority (FCA). It sets out the standards and best practice expected from participants in the deposit, repo and securities lending markets in the UK. The Code is endorsed by the Money Markets Committee (MMC), comprised of market participants from a wide range of banks, other financial and non-financial institutions, and chaired by representatives of the Bank of England (BoE). This module outlines the contents of the Code and who it applies to.

This course provides a comprehensive overview of the Conduct of Business Sourcebook (COBS) rules and their application in financial services. Learners will explore key principles such as acting in clients' best interests, understanding client categorisation, and ensuring clear, fair, and non-misleading communication.

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IT Security is one of the most sought-after subjects due to the constant development of new technologies and the increasing number of cyber threats. Gain essential IT security knowledge and skills, to help protect your digital life.

This course is designed to give all employees of a firm an understanding of what GDPR is intended to achieve, how it aims to empower individuals, and how it impacts firms and the roles of their employees.

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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.

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.

An online e-learning primer aimed as an introductory overview for those working in FCA-regulated firms to enable them to understand the Conduct Rules within the Senior Managers and Certification Regime, and make them aware of the requirements of the FCA.

An online e-learning course aimed as an introductory overview for those working in FCA authorised firms to enable them to understand the Senior Managers and Certification Regime and make them aware of the requirements of the FCA.

The UK Money Markets Code was one of the first industry codes to be recognised by the Financial Conduct Authority (FCA). It sets out the standards and best practice expected from participants in the deposit, repo and securities lending markets in the UK. The Code is endorsed by the Money Markets Committee (MMC), comprised of market participants from a wide range of banks, other financial and non-financial institutions, and chaired by representatives of the Bank of England (BoE). This module outlines the contents of the Code and who it applies to.

This course provides a comprehensive overview of the Conduct of Business Sourcebook (COBS) rules and their application in financial services. Learners will explore key principles such as acting in clients’ best interests, understanding client categorisation, and ensuring clear, fair, and non-misleading communication.

A short online e-learning primer for those working in financial services firms explaining the rules on whistleblowing and when it may be appropriate to make a disclosure (‘blow the whistle’), if a firm or individual is involved in wrongdoing.

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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.

This self-paced online course provides an overview of AML, the measures needed for efficient AML controls, Suspicious Transaction Monitoring, and Suspicious Activity Reporting (SAR) to help learners understand their obligations to report suspicious activity, when to report suspicious activity, and how to report better quality SARs.

Anti-bribery and anti-corruption legislation globally has existed for some time, though enforcement is becoming more aggressive. There is heightened regulatory focus on how insurers obtain and retain business within emerging markets where bribery and corruption is prolific.

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.

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.

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.

Approved Persons Regime awareness course for all members of firms NOT subject to the Senior Managers & Certification Regime (SM&CR) which came into effect on 7 March 2016, applying to banks, building societies, credit unions and investment firms that are subject to dual regulation by the Prudential Regulation Authority (PRA) and Financial Conduct Authority (FCA). Please note that, if your firm is currently regulated solely by the FCA under the Approved Persons Regime, this will be replaced by SM&CR in 2019 (or December 2018 for insurers).

Treating Customers Fairly (“TCF”) course for all members of a firm helps them show the FCA that fair treatment of customers is at the heart of their business model.

Complaints Handling course is suitable for any member of a team aiming to understand how to properly handle complaints within the financial services sector.

The course provides understanding of the regulatory drivers and priorities; considers the factors you should promote to build and embed an inclusive operational resilience framework; enables you to recognise common risks and disruptors to operational stability and consider appropriate governance models.

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This course outlines the need for combating ML risks and other financial crimes. Financial institutions must be able to respond to threads on a contextual basis to balance efficiency and cost needs with compliance obligations.

Risk assessment enables financial institutions to focus on their AML/CFT efforts and adopt appropriate measures to allocate the necessary resources in an optimal way. Based on the assessments conducted, the financial institutions should have controls, policies, and procedures that allow them to effectively manage and mitigate the risks identified.

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.

A key concern and significant risk for financial institutions is the possibility of unknowingly becoming complicit in money laundering, whereby illegitimate money is moved into legitimate institutions. To mitigate such risk, financial institutions have strengthened their internal control systems by increasingly making use of Know Your Consumer (KYC) and Customer Due Diligence (CDD) requirements as part of their anti-money laundering (AML) strategies.

KYC/CDD is a critical element for effectively managing the risks posed by potential clients thus protecting the organization against criminals, terrorists, and Politically Exposed Persons (PEPs) who might present a higher risk, and possible dubious actions by existing customers that need to be regularly reassessed. This course provides an introduction to KYC and CDD procedures, both key tools in assessing customer risk and a legal requirement to comply with Anti-Money Laundering (AML) and Counter-Terrorist Financing (CFT) laws.

This course outline provides a brief overview of Suspicious Transactions / Activity Reporting process in a regulated financial services firm.

This course outlines basic CDD procedures requires to assess customer risk and a legal requirement to comply with Anti-Money Laundering (AML) and Counter-Terrorist Financing (CFT) laws. Effective CDD involves ongoing monitoring of customers’ business activities, identifying and mitigating the AML/CFT risk a business relationship may pose to a regulated entity.

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.

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.

This self-paced online course provides an overview of AML, the measures needed for efficient AML controls, Suspicious Transaction Monitoring, and Suspicious Activity Reporting (SAR) to help learners understand their obligations to report suspicious activity, when to report suspicious activity, and how to report better quality SARs.

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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.

A short online e-learning primer aimed as an introductory overview for those encountering Client Money and Client Assets for the first time, and for those working in firms that do not hold or control client money or safe custody assets as part of their business.

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.

The ICARA Process requirement is deriving from the provisions of the new prudential package (Investment Firms Regulation and Directive) introduced by the European Commission. The aim of this course is to provide a comprehensive understanding of the ICARA process methodologies and requirements, as well as its implications for Investment Firms operating within the European Union.

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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.

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.

Prudential regulation is essential for firms operating within the financial services sector. It serves as a cornerstone of the ethical and moral framework that supports stable and healthy financial systems. A lack of prudence in financial decision-making can lead to significant economic disruptions. Prudence involves exercising caution when making financial decisions or allocating resources, aiming to minimize unnecessary risks. In the realm of accounting, prudence dictates that companies should avoid overstating their assets and profits, as well as understating their losses in financial reports. Our Prudential Regulation Training Course provides a comprehensive overview of the prudential standards that govern financial services firms in the UK.

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IT Security is one of the most sought-after subjects due to the constant development of new technologies and the increasing number of cyber threats. Gain essential IT security knowledge and skills, to help protect your digital life.

This course is designed to give all employees of a firm an understanding of what GDPR is intended to achieve, how it aims to empower individuals, and how it impacts firms and the roles of their employees.

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