Topic: Compliance & Regulatory

Handling Complaints

Description This awareness-level course explains how to recognize and handle, record and respond to complaints effectively. It also delivers the…

Compliance & Regulatory

Commodity Market Abuse

Description This awareness-level course covers the ethical, regulatory and legal responsibilities of firms and their employees in relation to market…

Compliance & Regulatory

Client Assets

Description This awareness-level course takes a practical look at the client asset rules of the Financial Conduct Authority (FCA). It…

Compliance & Regulatory

Code of Conduct

Description The course follows the framework of a typical corporate code of conduct and covers content on values, decision-making, and…

Compliance & Regulatory

Business Ethics

Description Business ethics is now an essential part of modern business practice. This awareness-level course explains the main approaches to…

Compliance & Regulatory