55 FCA courses

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.

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.

Description A key component to the development of financial markets is to agree standards of behaviour and provide mechanisms for dispute resolution. These standards, rules and codes of conduct may be established through self-regulation of the industry, or by means of a statutory approach where governments provide enabling legislation and establish statutory-based regulatory authorities. Integrity and ethical behaviour are key parts of any code of conduct and have, as a result of the financial crisis, experienced renewed focus from professional bodies, governments and regulators. As financial markets have become increasingly global in nature and interdependence has grown, the financial sector has moved from self-regulation to a statutory approach. This has facilitated international cooperation and the development of improved and common standards. The objectives and benefits of regulation is summarised as follows: • increase in confidence and trust in financial markets, systems and products • establish an environment to encourage economic development and wealth creation • reduce the risk of market and system failures including their economic consequences • enhance consumer protection, giving them the reassurance they need to save and invest, and • reduce financial crime by ensuring financial systems cannot easily be exploited. By attending this course participants will be able to understand the objectives and benefits of regulation and the various agencies that make up the current international and national regulatory environment. Training Duration This course may take up to 2 hours to complete. However, actual study time differs as each learner uses their own training pace. Participants This course is ideal for anyone wishing to know the essentials of financial regulation and the international regulatory environment, 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). 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 may be accredited by financial regulators, such as FCA and general financial training accreditation bodies, such as CISI, for 2 CPD Units. 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 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. The importance of these intangible concepts and 'getting it right' has been clearly communicated, and myriad speeches and initiatives in the financial services sector focus on these themes. This programme does not purport to dictate how firms should define their values or operate their businesses. However, lawmakers, regulators and society have defined certain minimum expectations and standards of behaviour from the perspective of customer and business outcomes. These are sometimes framed or described (whether explicitly or implicitly) as issues of trust, integrity or honesty; concepts which have a distinct ethical underpin. Firms and individuals operating in the sector must be conscious and mindful of these standards and expectations and consider both whether they are satisfying the letter and spirit of the rules and/or guidance and whether the values and principles which they have set for themselves are effective in directing and delivering the firm's desired outcomes. 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 Ethics, Integrity and Fairness in Financial Services, 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 and consultants • Boards, NEDs and Senior Managers • Risk executives • Directors 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.

***Limited Time Offer*** In a world where over 60% of adults lack basic financial literacy and with markets more volatile than ever, the need for skilled investment advisors has never been higher. Our Investment Advisor Certification Bundle is expertly designed to meet these demands. It is a comprehensive collection of 25 CPD-accredited and QLS-endorsed courses to make you an expert in Investment and Finance! Whether you're a new investor, an aspiring business analyst, or a seasoned financial advisor, this bundle is your ultimate guide for navigating the complex financial landscape. Discover a World of Knowledge Across 25 Diverse Courses! From the fundamentals of Investment and Basic Business Finance to the strategies of Stock Trading and investing, each course in this Investment Advisor bundle is made to improve your financial knowledge. Learn about specialised topics like Cryptocurrency, Gold Trading, and Financial Risk Management, or broaden your understanding with courses on International Business Principles, Business Intelligence and much more. Dual Certification - A Mark of Excellence! What sets this Investment Advisor bundle apart? Not one, but two prestigious certificates await you at the end of each course - both in PDF and Hardcopy formats. That's 50 PDF and Hardcopy Certificates in total, symbolising your dedication and expertise. Each CPD and QLS certificate you earn is a testament to your commitment and a valuable asset in your professional journey. You will also get Full Study Assistance, and Career Support. This will help you easily get the dream job you want or start an investment agency. Courses Included In this Investment Advisor Certification (IAC) * Course 01: Investment Advisor Certification (IAC) * Course 02: Investment * Course 03: Basic Business Finance * Course 04: Business Funding * Course 05: Investing in Recession * Course 06: Financial Modelling for Decision Making and Business plan * Course 07: Corporate Finance: Working Capital Management * Course 08: Business Management and Finance Course * Course 09: Making Budget & Forecast * Course 10: Financial Risk Management * Course 11: Fundamentals to Making a Powerful Investor Pitch * Course 12: Capital Budgeting & Investment Decision Rules * Course 13: Create a Compelling Company Overview for Investors * Course 14: Stock Trading Analysis with Volume Trading * Course 15: Technical Analysis Masterclass for Trading & Investing * Course 16: Stock Trading: Quick Start Guide To Stock Trading * Course 17: Stock Trading & Investing * Course 18: Cryptocurrency: Wallets, Investing & Trading * Course 19: Investing In Gold & Gold Mining Stocks Course * Course 20: Business Plan for Entrepreneurs * Course 21: Research Methods in Business * Course 22: Financial Analysis: Finance Reports * Course 23: Business Intelligence and Data Mining * Course 24: Business Law: Applied Fundamentals * Course 25: International Business Principles What Will You Learn? Here are some key learning outcomes of this Investment Advisor Certification bundle: * Deepen your understanding of basic investment and stock trading concepts. * Acquire skills to invest effectively in fluctuating economic conditions. * Develop expertise in financial modelling for business decision-making. * Gain knowledge in working capital management and corporate finance. * Learn how to create compelling pitches for potential investors. * Understand the principles of financial risk management in various scenarios. * Explore the fundamentals of cryptocurrency trading and investment. * Master the art of creating robust business plans and financial analysis. * Get insights into international business laws and their applications. * Learn strategies for investing in gold and stock markets with technical analysis. The Investment Advisor Certificate (IAC) is designed for recent graduates embarking on their careers in finance, aiming to augment their expertise and demonstrate their dedication to ongoing growth within the financial sector, before pursuing FCA-regulated qualifications. This complete Investment Advisor Certification bundle offers deep insights into various sectors of investment and finance. It will equip you with the knowledge and skills to navigate today's dynamic economic landscape. You will learn the techniques to grow your investment portfolio. The comprehensive modules will teach you how to recommend your client based on investment, risk, liquidity, liability, and returns to make the most successful investments. Also, upon completion, you'll receive 50 prestigious certificates (25 CPD and 25 QLS in both PDF and Hardcopy), marking your expertise and dedication in the financial sector. CPD 500 CPD hours / points Accredited by CPD Quality Standards WHO IS THIS COURSE FOR? The Investment Advisor Certificate (IAC) is an appropriate certification for recent graduates embarking on their professional journey in the financial sector. It aims to augment their existing knowledge and demonstrate their dedication to continuous growth and improvement before pursuing regulatory qualifications mandated by the Financial Conduct Authority (FCA). The certification serves as a stepping stone for individuals commencing their careers, equipping them with essential insights and showcasing their commitment to the industry prior to undertaking regulated qualifications. This Investment Advisor Certification bundle is perfect for: * Aspiring financial advisors looking for complete knowledge in investment and finance. * Business professionals aiming to improve their financial decision-making skills. * Entrepreneurs looking to understand financial management and investor relations. * Individuals interested in diversifying their investment portfolios, including stocks and cryptocurrencies. * Career changers looking to enter the finance and investment sector with accredited qualifications. REQUIREMENTS Level 3 qualification or equivalent, e.g. A levels CAREER PATH Upon successful completion of this Investment Advisor Certification bundle, you can easily pursue the following career paths: * Financial Advisor: £30,000 to £100,000 * Investment Analyst: £35,000 and £80,000 * Business Consultant: £40,000 to £110,000 * Portfolio Manager: £50,000 to over £150,000 * Corporate Finance Manager: £45,000 and £150,000 * Cryptocurrency Analyst/Trader: £40,000 to £200,000 CERTIFICATES CERTIFICATE OF COMPLETION - DIGITAL CERTIFICATE Digital certificate - Included CERTIFICATE OF COMPLETION - HARD COPY CERTIFICATE Hard copy certificate - Included

INTRODUCTION TO PROTECTING CLIENT MONEY Recent high profile fraud cases and continued regulatory scrutiny have highlighted the importance of understanding the key principles of safeguarding client money and assets. The rules are complex and you need the right skills to apply them effectively. This course covers this technical area in an accessible, easily understandable way., focusing on the principles, practical examples, and taking a closer look at the Financial Conduct Authority (FCA) CASS rules to help bring the concepts to life. By the end of the course, you will be able to: * Understand the key principles in managing client monies and assets effectively * Discover why insolvency drives the need to protect customers * Learn why company and customer monies should be separated, as well as how and what to separate * Explain the basics for good organisational arrangements and understand the fundamentals of banking and custodian relationships * Describe the basics of registration and recording of legal titles and the importance of segregation and the role of diversification * Know the steps to take when reconciling accounts and understand how to protect monies and assets during transactions.

Treating Customers Fairly or TCF is a set of rules and guidelines set out by the UK's Financial Conduct Authority (FCA). This course covers everything you need to know regarding TCF. This course was developed alongside the Financial Services experts to help you take a practical and real-world approach to treat customers fairly.  The course will look at the role of the Financial Conduct Authority and the enforcement of TCF and the six consumer outcomes and how they can impact a business every day.

Description This course provides an introduction to the Senior Managers and Certification Regime (SM&CR) Conduct Rules, which are a set of principles that govern the conduct of senior managers and certification staff in financial services firms. 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.

ICA CERTIFICATE IN FINANCIAL CRIME PREVENTION A practical, introductory course that will give you a solid understanding of core financial crime, fraud, bribery, and corruption risks. This qualification explores: * Financial crime - the risks * Fraud controls - different strategies, systems, and controls in practice * Fraud typologies in banking * Bribery & corruption - the risks and international initiatives to combat these risks * Fraud response policy - explore the objectives of a plan, the reporting channels and contingencies This course is awarded in association with Alliance Manchester Business School, the University of Manchester. There are many benefits of studying with ICA: * Flexible learning solutions that are suited to you * Our learner-centric approach means that you will gain relevant practical and academic skills and knowledge that can be used in your current role * Improve your career options by undertaking a globally recognised qualification that hiring managers look for as part of their hiring criteria * Many students have stated that they have received a promotion and/or pay rise as a direct result of gaining their qualification * The qualifications ensure that you are enabled to develop strategies to help manage and prevent risk within your firm, thus making you an invaluable asset within the current climate Students can expect the following outcomes * Understanding of the key risks and controls essential for financial crime prevention. * Knowledge to help protect a firm against the continuous threat of financial crime * Verifiable evidence of learning * ICA Certificate in Financial Crime Following successful completion of the ICA Certificate in Financial Crime Prevention training course, students will be able to use the designation 'Cert. (FCA).' This course is awarded in association with Alliance Manchester Business School, the University of Manchester. This ICA Certificate in Financial Crime Prevention training course develops knowledge and practical skills in the following areas: * What is Financial Crime? * What Are the Financial Crime Risks? * Fraud Controls * Banking - Fraud Typologies * Identity Theft and Electronic Crime * Bribery & Corruption * Fraud Response Policy * Criminal Offences - exploring the UK system At the end of the course there is a one hour multiple choice examination that is taken online.

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.