Topic: Compliance & Regulatory

Anti-Bribery and Corruption

Description This awareness-level course explains the risks that firms face from bribery and corruption and the role that all employees…

Compliance & Regulatory

The Conduct Rules and You

The course provides a practical guide to the FCA Conduct Rules. It covers a brief overview of the Senior Managers…

Compliance & Regulatory

Conflicts of Interest

Conflicts of interest arise from a tension between one or more sets of professional or personal interests. This awareness-level course…

Compliance & Regulatory

Whistleblowing

Encouraging individuals to raise concerns about poor practice is an important part of good business practice. This awareness-level course takes…

Compliance & Regulatory

Take 5 to Think About Market Conduct

Increased market volatility and unprecedented changes to the working environment pose challenges to the fair and orderly operation of financial…

Compliance & Regulatory

Take 5 to Think About the Consumer Duty

This bite-size module has been developed for all financial services firms covered by the Financial Conduct Authority’s (FCA) Consumer Duty.…

Compliance & Regulatory

Market Conduct Essentials

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

Compliance & Regulatory