Course 1: FCA e-Learning – The Individual Conduct Rules (SM&CR) and why and how the FCA regulates consumer credit firms

Associated Courses

£150.00

How to order

To Order this course, simply click on the add to cart button below.

After your payment is confirmed, you will be emailed a username/password and a link to a screen where you can logon.

Price is per user per year, (plus VAT)

If you would like to purchase more than one licence:- Then please call Tel 01423 522 599 or email info@thecompliancecompany.co.uk

SKU: FCA002 Category:

Description

The aim of the course:

It will provide you with a clear understanding of how the Financial Conduct Authority expects your firm to behave and conduct itself when dealing with your customers.

The FCA expects authorised firms to continuously record, maintain and evidence the training of both yourself and staff to ensure that they are up to date with both current and future regulatory changes, and e-Learning is a cost-effective way of doing this.

Modules

The course is split into 8 modules.

  1. An introduction to the FCA and its expectations of authorised firms.
  2. How the FCA monitors firms, and the consequences of getting it wrong.
  3. Treating customers fairly and the care of vulnerable customers.
  4. SM&CR – The Individual Conduct Rules
  5. Pre and Post Contract Responsibilities and “adequate explanations”.
  6. Financial Crime, Bribery, Corruption and Anti-Money Laundering
  7. Whistleblowing
  8. GDPR – General Data Protection Regulation