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FCA Compliance Essentials

FCA Compliance Essentials

By LGCA | London Governance and Compliance Academy

5.0(4)
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  • 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
  2. AML Suspicious Activity Reports and Suspicious Transaction Reports (SAR/STRs)
  3. Anti-Bribery and Corruption
  4. Anti-Money Laundering and Counter Terrorist Finance
  5. Approved Persons Regime
  6. Assessing and Managing AML Risks
  7. Building an AML Risk-based Approach
  8. CASS Introduction
  9. Complaints Handling
  10. Compliance Introduction
  11. Compliance Monitoring and Testing
  12. Conduct Rules for All Staff
  13. Conflict of Interest (COI)
  14. Consumer Duty
  15. Establishing and Maintaining a Strong CDD Programme
  16. Ethics, Integrity and Fairness in Financial Services
  17. FCA: the Role and Approach
  18. Financial Promotions Regulation
  19. Fraud Detection and Prevention
  20. GDPR Awareness
  21. Introduction to Cybersecurity
  22. Introduction to Know Your Client (KYC) and Customer Due Diligence (CDD)
  23. Market Abuse (MAR)
  24. Operational Resilience
  25. Senior Managers and Certification Regime
  26. SM&CR – The Conduct Rules
  27. Suspicious Transactions/Activity Reporting
  28. The Value of Customer Due Diligence (CDD)
  29. Treating Customers Fairly
  30. Vulnerable Customer Management
  31. Whistleblowing
  32. 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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